DFX Intelligence
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Registered advisor
L•• S••••• H••••••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedNew Orleans, Ladual registrantIAPD 4739000
Feed of 09/14/2026
At current firm
7 y
since Jun 17, 2019
In the industry
22 y
since Apr 23, 2004 (earliest exam, job or registration)
Prior registered firms
3
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 17, 2019 · New Orleans, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2010 to Jun 18, 2019 · New Orleans, La
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 8, 2010 · New Orleans, La
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 24, 2005 to Jun 1, 2009 · New Orleans, La
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 18, 2019, registered Jun 17, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2010, registered Feb 12, 2010 (-24 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address