DFX Intelligence
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Registered advisor
L•••• S•••••• S••••
Feed of 09/15/2026
Also filed as L•••• A••• S••••••••• A••• S••••
At current firm
16 y
since Aug 2, 2010
In the industry
21 y
since Jan 27, 2005 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- P•• W••••• M••••••••• BD affiliated currentsince Aug 2, 2010 · Maineville, Oh
- C•••• I••••••••• S••••••• C•••• formerAug 17, 2009 to Jul 30, 2010 · Dayton, Oh
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to P•• W••••• M•••••••••left Jul 30, 2010, registered Aug 2, 2010 (3 days) · Other
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address