DFX Intelligence
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Registered advisor
Y••• L••
Feed of 09/14/2026
Also filed as L••• L••
At current firm
10 y
since Sep 19, 2016
In the industry
18 y
since Jul 23, 2008 (earliest exam, job or registration)
Prior registered firms
1
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 19, 2016 · Richmond, Va
- W•••• F•••• A••••••• wirehouseAug 11, 2008 to Oct 8, 2013 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Oct 8, 2013, registered Sep 19, 2016 (1077 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address