DFX Intelligence
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Registered advisor
S••••• L••• E•••
Feed of 09/14/2026
Also filed as S••••• L••• S••••••••• L••• S••••
At current firm
5 y
since Mar 2, 2021
In the industry
13 y
since Nov 16, 2012 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Mar 2, 2021 · Chesterfield, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 3, 2017 to Mar 13, 2021 · St Louis, Mo
- T• A••••••••• I••• formerNov 3, 2017 to Mar 13, 2021 · St Louis, Mo
- S•••••••• I••••••••• M••••••••• formerFeb 8, 2016 to Jun 20, 2018 · Saint Louis, Mo
- E••••• J•••• national BDNov 21, 2012 to Feb 5, 2016 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 13, 2021, registered Mar 2, 2021 (-11 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 13, 2021, registered Nov 3, 2017 (-1226 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Jun 20, 2018, registered Nov 3, 2017 (-229 days) · channel change inside one enterprise, not a move · moved with a team
- E••••• J•••• to S•••••••• I••••••••• M•••••••••left Feb 5, 2016, registered Feb 8, 2016 (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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address