DFX Intelligence

RIA Intelligence

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Registered advisor

J•••• L••••••• T••••••

L•• F•••••••• L••BD affiliatedMount Juliet, Tn dual registrantIAPD 5278376

Feed of 09/14/2026

Also filed as J•••• L••••••• T••••••••• L••••••• T••••••••• L••••••• T••••••••• L• T••••••••• L• T••••••

At current firm

0 y

since Oct 27, 2025

In the industry

16 y

since Dec 31, 2009 (earliest exam, job or registration)

Prior registered firms

4

IAPD previous registrations

State registrations

2

current, as an IAR

Firms today

1

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

2

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Oct 27, 2025 · Fort Mill, Sc

M••••• S•••••• wirehouse
Feb 18, 2021 to Jul 1, 2025 · Nashville, Tn
J••• M••••• S••••••••• L•• wirehouse
Apr 20, 2017 to Feb 1, 2021 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 13, 2013 to Apr 17, 2017 · Houston, Tx
W•••••• • R••• former
Feb 24, 2010 to Oct 8, 2010 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to L•• F•••••••• L••
left Jul 1, 2025, registered Oct 27, 2025 (118 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M••••• S••••••
left Feb 1, 2021, registered Feb 18, 2021 (17 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Apr 17, 2017, registered Apr 20, 2017 (3 days) · Wirehouse to wirehouse
W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 8, 2010, registered Mar 13, 2013 (887 days) · Other

Signals

••• Locked
Sep 18, 2026 · Advisor registration ended · derived
••• Locked
Jul 1, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address