DFX Intelligence
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Registered advisor
S••••• L••• A••••••
Feed of 09/14/2026
Also filed as S••••• L••• B•••••••
At current firm
4 y
since Aug 17, 2022
In the industry
33 y
since Sep 1, 1993 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 17, 2022 · Milford, Ct
- P••••••• U••••• A•••••••• I••• formerMay 21, 2018 to Aug 17, 2022 · Milford, Ct
- P••••••• S••••••••• I••• formerFeb 28, 2017 to Mar 31, 2020 · Milford, Ct
Moves
a registration end followed by a registration begin elsewhere
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered May 21, 2018 (-680 days) · corporate re-registration, not a move
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address