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 09/14/2026
Also filed as R••••• S•••• L••••••
At current firm
11 y
since Mar 23, 2015
In the industry
24 y
since May 24, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••••• S••••••••• I••• BD affiliated currentsince Mar 23, 2015 · Johnston, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 7, 2012 to Aug 12, 2013 · Lincoln, Ri
- S•••••••• A••••••• L•• national BDJun 18, 2007 to Mar 26, 2010 · San Francisco, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 17, 2005 · Providence, Ri
- Q•••• • R•••••• I••• unclassifiedFeb 3, 2004 to Oct 20, 2004 · Providence, Ri
- E•••••••• A•••••••• L•• national BDOct 8, 2003 to Feb 4, 2004 · Wellesley, Ma
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Aug 12, 2013, registered Mar 23, 2015 (588 days) · Other
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 26, 2010, registered Mar 7, 2012 (712 days) · Affiliated broker-dealer or bank to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to S•••••••• A••••••• L••left Mar 17, 2005, registered Jun 18, 2007 (823 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to Q•••• • R•••••• I•••left Feb 4, 2004, registered Feb 3, 2004 (-1 days) · Other
Signals
No dated event on this person.
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