DFX Intelligence
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Registered advisor
L•• S••
Feed of 09/15/2026
At current firm
13 y
since Dec 17, 2012
In the industry
23 y
since Apr 8, 2003 (earliest exam, job or registration)
Prior registered firms
2
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
- C•••••• S••••• • C••• I••• national BD currentsince Dec 17, 2012 · San Mateo, Ca
- E•••••• C•••••• M••••••••• L•• formerMay 19, 2008 to Nov 27, 2012 · Arlington, Va
- K••••••• I••••••••• C••••••• I••• unclassifiedMar 7, 2005 to Sep 26, 2005 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Nov 27, 2012, registered Dec 17, 2012 (20 days) · Other
- K••••••• I••••••••• C••••••• I••• to E•••••• C•••••• M••••••••• L••left Sep 26, 2005, registered May 19, 2008 (966 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address