DFX Intelligence
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Registered advisor
W•••••• L••••
Feed of 09/14/2026
Also filed as W•••••• L••••
At current firm
5 y
since Jan 7, 2021
In the industry
21 y
since Jun 15, 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
- P•• W••••• M••••••••• BD affiliated currentsince Jan 7, 2021 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · Chicago, Il
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedJun 16, 2005 to Sep 27, 2006 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left May 15, 2012, registered Jan 7, 2021 (3159 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address