DFX Intelligence
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Registered advisor
J•••• L••
Feed of 09/14/2026
At current firm
13 y
since Oct 31, 2012
In the industry
21 y
since Jul 30, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 31, 2012 · East Norwich, Ny
- C•••• I••••••••• S••••••• C•••• formerJun 26, 2006 to Nov 4, 2010 · Flushing, Ny
- M••••• S•••••• D• I••• unclassifiedJan 3, 2006 to May 2, 2006 · Great Neck, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Nov 4, 2010, registered Oct 31, 2012 (727 days) · Other
- M••••• S•••••• D• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2006, registered Jun 26, 2006 (55 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