DFX Intelligence
RIA Intelligence
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Registered advisor
B••••••• A•••• L••••••
Feed of 09/14/2026
Also filed as B••••••• L••••••
At current firm
11 y
since Nov 19, 2014
In the industry
22 y
since Jun 30, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
6
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
- R•••••• W••••• M••••••••• L•• independent RIA currentsince Nov 19, 2014 · Santa Monica, Ca
- L•• F•••••••• L•• BD affiliatedDec 7, 2007 to Dec 18, 2014 · Charlotte, Nc
- A• G• E•••••• • S•••• I••• unclassifiedJul 7, 2004 to Dec 14, 2007 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to R•••••• W••••• M••••••••• L••left Dec 18, 2014, registered Nov 19, 2014 (-29 days) · Other
- A• G• E•••••• • S•••• I••• to L•• F•••••••• L••left Dec 14, 2007, registered Dec 7, 2007 (-7 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address