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.
Feed of 09/15/2026
Also filed as B••• H••••••••• H••••••••• H••••• H••••••••• H••••••••• A•• H•••••
At current firm
3 y
since Jun 12, 2023
In the industry
23 y
since Aug 26, 2003 (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
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••• L•• BD affiliated currentsince Jun 12, 2023 · Monroe, La
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jun 16, 2016 · Monroe, La
- M••••• K••••• • C••••••• L•• formerNov 24, 2004 to Feb 13, 2013 · Monroe, La
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to C••• L••left Jun 16, 2016, registered Jun 12, 2023 (2552 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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