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
B•••• D•••• L•••
Feed of 09/14/2026
At current firm
17 y
since Apr 2, 2009
In the industry
24 y
since Mar 20, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- E•••••••• A•••••••• L•• national BD currentsince Apr 2, 2009 · Powell, Oh
- M••••• S•••••• C••••••••• unclassifiedMar 28, 2008 to Apr 2, 2009 · Powell, Oh
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedMay 9, 2005 to Mar 27, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• C••••••••• to E•••••••• A•••••••• L••left Apr 2, 2009, registered Apr 2, 2009 (0 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to M••••• S•••••• C•••••••••left Mar 27, 2008, registered Mar 28, 2008 (1 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address