DFX Intelligence
RIA Intelligence
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Registered advisor
L••• M•••••• S•••••
Feed of 09/14/2026
Also filed as L••• S•••••
At current firm
10 y
since Aug 19, 2016
In the industry
18 y
since Feb 20, 2008 (earliest exam, job or registration)
Prior registered firms
2
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 19, 2016 · Dunedin, Fl
- C••• B•••••••• S•••••••• I••• formerAug 11, 2011 to Feb 18, 2015 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 20, 2008 to Mar 20, 2008 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- C••• B•••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Feb 18, 2015, registered Aug 19, 2016 (548 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Mar 20, 2008, registered Aug 11, 2011 (1239 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address