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•••••• L•••• F•••••
Feed of 09/14/2026
Also filed as R•••••• L•••• J••••••••• J••••••••• F•••••
At current firm
12 y
since Feb 17, 2014
In the industry
28 y
since Sep 1, 1998 (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
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 17, 2014 · Sarasota, Fl
- C••• B•••••••• S•••••••• I••• formerMay 15, 2012 to Feb 6, 2014 · Waverly, Ia
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Feb 6, 2014, registered Feb 17, 2014 (11 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address