DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• L•••••••
Feed of 09/14/2026
Also filed as M•••••• P L•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
21 y
since Nov 30, 2004 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Cincinnati, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDSep 14, 2012 to Jul 13, 2018 · St. Louis, Mo
- E••••• J•••• national BDFeb 1, 2012 to Jul 25, 2012 · Florissant, Mo
- T• A••••••••• I••• formerAug 3, 2010 to Feb 1, 2012 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 3, 2010 to Feb 1, 2012 · St. Louis, Mo
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jul 21, 2010 · Cincinnati, Oh
- N•••••• I••••••••• I••• unclassifiedMay 6, 2009 to Nov 13, 2009 · Cincinnati, Oh
- S•••••••• A••••••• L•• national BDMay 4, 2007 to Sep 11, 2008 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to S•••••••• A••••••• L••left Jul 25, 2012, registered Sep 14, 2012 (51 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 1, 2012, registered Aug 3, 2010 (-547 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 1, 2012, registered Aug 3, 2010 (-547 days) · Other
- P•• W••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 21, 2010, registered Aug 3, 2010 (13 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to N•••••• I••••••••• I•••left Sep 11, 2008, registered May 6, 2009 (237 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address