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
D••••• J•••• L••••••
Feed of 09/14/2026
At current firm
13 y
since Oct 3, 2012
In the industry
21 y
since Jul 2, 2005 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Oct 3, 2012 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 29, 2009 to Aug 28, 2012 · St Louis, Mo
- T• A••••••••• I••• formerOct 29, 2009 to Aug 28, 2012 · Chesterfield, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJul 5, 2005 to Oct 26, 2009 · Chesterfield, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 28, 2012, registered Oct 29, 2009 (-1034 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 28, 2012, registered Oct 29, 2009 (-1034 days) · channel change inside one enterprise, not a move
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Oct 26, 2009, registered Oct 29, 2009 (3 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