DFX Intelligence
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Registered advisor
L••• A•• B••••••
Feed of 09/14/2026
Also filed as L••• A•• A••••••••• A•• R••••••
At current firm
14 y
since Jan 19, 2012
In the industry
25 y
since Jul 23, 2001 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jan 19, 2012 · Nashville, Tn
- L••••• T•• A•• F•••••••• P•••••••• L•• unclassifiedJul 23, 2009 to Feb 2, 2010 · Knoxville, Tn
- W••••••• F•••••••• S•••••••• I••• formerJan 30, 2009 to Dec 31, 2009 · Knoxville, Tn
- S••••••• F•••••••• S•••••••• I••• formerDec 19, 2006 to Jan 5, 2009 · Knoxville, Tn
- B••• A•••• M••••••••• I••• unclassifiedFeb 14, 2005 to Mar 7, 2006 · Severville, Tn
Moves
a registration end followed by a registration begin elsewhere
- L••••• T•• A•• F•••••••• P•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 2, 2010, registered Jan 19, 2012 (716 days) · Other
- W••••••• F•••••••• S•••••••• I••• to L••••• T•• A•• F•••••••• P•••••••• L••left Dec 31, 2009, registered Jul 23, 2009 (-161 days) · Other
- S••••••• F•••••••• S•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jan 5, 2009, registered Jan 30, 2009 (25 days) · Other
- B••• A•••• M••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Mar 7, 2006, registered Dec 19, 2006 (287 days) · Other
Signals
No dated event on this person.
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
- No RAUM reportedderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address