DFX Intelligence
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Registered advisor
L•••• M••••• B•••
Feed of 09/14/2026
Also filed as L•••• M••••• B••••••••• M••••• B•••
At current firm
1 y
since Nov 20, 2024
In the industry
24 y
since Aug 30, 2002 (earliest exam, job or registration)
Prior registered firms
6
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 20, 2024 · Orlando, Fl
- P•••• S••••••••• L•• no RAUMJul 29, 2019 to Nov 12, 2024 · Orlando, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMar 30, 2016 to Jul 18, 2019 · Orlando, Fl
- C••••• A••••••• L•• formerMar 11, 2013 to Mar 28, 2016 · Orlando, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 8, 2009 to Jan 28, 2013 · Winter Park, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 11, 2006 to Jan 8, 2009 · Orlando, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 22, 2002 to Jul 17, 2006 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 12, 2024, registered Nov 20, 2024 (8 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jul 18, 2019, registered Jul 29, 2019 (11 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 28, 2016, registered Mar 30, 2016 (2 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• A••••••• L••left Jan 28, 2013, registered Mar 11, 2013 (42 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 8, 2009, registered Jan 8, 2009 (0 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 17, 2006, registered Jul 11, 2006 (-6 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address