DFX Intelligence
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Registered advisor
J•••••• L• S••••
Feed of 09/14/2026
Also filed as J•••••• L•• S••••••••• L•• S••••••••• L•• W••••••••• L• W•••••••
At current firm
16 y
since Apr 27, 2010
In the industry
21 y
since Mar 21, 2005 (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
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 27, 2010 · Albuquerque, Nm
- R•• C•••••• M••••••• L•• national BDMay 27, 2009 to Apr 26, 2010 · Albuquerque, Nm
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 26, 2007 to May 27, 2009 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 26, 2010, registered Apr 27, 2010 (1 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left May 27, 2009, registered May 27, 2009 (0 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address