DFX Intelligence
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Registered advisor
L••••• B•••• N•••••••
Feed of 09/14/2026
At current firm
3 y
since Jun 29, 2023
In the industry
23 y
since Oct 18, 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, S63
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 Jun 29, 2023 · Mckinney, Tx
- L•• F•••••••• L•• BD affiliatedFeb 14, 2014 to Mar 13, 2020 · Frederick, Co
- E••••• J•••• national BDJan 9, 2008 to Feb 20, 2014 · Longmont, Co
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 13, 2020, registered Jun 29, 2023 (1203 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to L•• F•••••••• L••left Feb 20, 2014, registered Feb 14, 2014 (-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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address