DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••• S• L•••••
Feed of 09/15/2026
Also filed as S•••• L••••••••• S•••• L•••••
At current firm
2 y
since Jan 11, 2024
In the industry
24 y
since May 3, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 11, 2024 · Austin, Tx
- J••• M••••• S••••••••• L•• wirehouseNov 17, 2014 to Jan 12, 2024 · San Francisco, Ca
- C••••••• I••••••••• S••••••• unclassifiedMay 3, 2002 to Feb 11, 2005 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to K••••• A••••••• S•••••••• L••left Jan 12, 2024, registered Jan 11, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••• I••••••••• S••••••• to J••• M••••• S••••••••• L••left Feb 11, 2005, registered Nov 17, 2014 (3566 days) · Other
Signals
- ••• LockedJan 12, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address