DFX Intelligence
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Registered advisor
N•••• R••••• L•••••
Feed of 09/15/2026
At current firm
2 y
since Jun 27, 2024
In the industry
19 y
since Jun 16, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jun 27, 2024 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedMay 15, 2012 to Sep 18, 2013 · Ballston, Ny
- H••• S••••••••• •••• I••• BD affiliatedMay 12, 2009 to May 15, 2012 · Vails Gate, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 18, 2013, registered Jun 27, 2024 (3935 days) · Other
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address