DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J••••• E•••••• L•••••
Feed of 09/14/2026
At current firm
4 y
since Jun 9, 2022
In the industry
18 y
since Jan 11, 2008 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• F•••••••• E•••••• independent RIA currentsince Jun 9, 2022 · Albuquerque, Nm
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Apr 28, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 13, 2012 to Jul 13, 2018 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 29, 2011 · Albuquerque, Nm
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 15, 2008 to Oct 23, 2009 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••left Apr 28, 2022, registered Jun 9, 2022 (42 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Nov 29, 2011, registered Jan 13, 2012 (45 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
- J••••• E•••••• L••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• F•••••••• E•••••• (registered 2022-06-09)Apr 28, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address