DFX Intelligence
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Registered advisor
S•••••••• L••• C••
Feed of 09/14/2026
Also filed as S•••••••• L••• B••••
At current firm
3 y
since Oct 6, 2022
In the industry
18 y
since Jun 1, 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, S63
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 Oct 6, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 23, 2012 to Dec 23, 2014 · Omaha, Ne
- T• A••••••••• I••• formerApr 23, 2012 to Oct 14, 2022 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 6, 2022 (-8 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 23, 2014, registered Apr 23, 2012 (-974 days) · channel change inside one enterprise, 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address