DFX Intelligence
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Registered advisor
L•••• A•••• R••••• C••••
Feed of 09/14/2026
Also filed as L•••• C••••
At current firm
4 y
since Jan 25, 2022
In the industry
19 y
since Jan 22, 2007 (earliest exam, job or registration)
Prior registered firms
5
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 Jan 25, 2022 · San Ramon, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · San Luis Obispo, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Apr 11, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 15, 2016 to Feb 26, 2018 · Saint Louis, Mo
- E••••• J•••• national BDSep 10, 2007 to Mar 14, 2008 · St Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJan 23, 2007 to Apr 12, 2007 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 11, 2023, registered Feb 27, 2018 (-1869 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jan 25, 2022 (-262 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to S•••••••• I••••••••• M•••••••••left Mar 14, 2008, registered Sep 15, 2016 (3107 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Apr 12, 2007, registered Sep 10, 2007 (151 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address