DFX Intelligence
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Registered advisor
S•••••• L••••
Feed of 09/14/2026
Also filed as S•••••• M••••••••• V••••
At current firm
4 y
since Sep 20, 2022
In the industry
17 y
since Apr 28, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 20, 2022 · Fort Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseAug 24, 2016 to Aug 18, 2022 · Fort Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 9, 2015 to Aug 24, 2016 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseAug 20, 2013 to May 19, 2015 · Aventura, Fl
- U••• B•••••• A•••••••• L•• BD affiliatedApr 29, 2009 to Oct 19, 2011 · Simi Valley, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Aug 18, 2022, registered Sep 20, 2022 (33 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Aug 24, 2016, registered Aug 24, 2016 (0 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left May 19, 2015, registered Jun 9, 2015 (21 days) · Other
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Oct 19, 2011, registered Aug 20, 2013 (671 days) · Other
Signals
- S•••••• L•••• left W•••• F•••• A••••••• for T••••• A••••••• S•••••••• I••• (registered 2022-09-20)Aug 18, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address