DFX Intelligence
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Registered advisor
T••••• L••• D•••••
Feed of 09/15/2026
Also filed as L••• D•••••
At current firm
1 y
since Apr 23, 2025
In the industry
25 y
since Sep 19, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••••• A•••••••• L•• BD affiliated currentsince Apr 23, 2025 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDOct 26, 2005 to Mar 8, 2024 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to H•••••••• A•••••••• L••left Mar 8, 2024, registered Apr 23, 2025 (411 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMar 8, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address