DFX Intelligence
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L•••••• A•• R•••
As of · the IAPD feed
- At current firm
- 1 y
- In the industry
- 16 y
- Prior registered firms
- 2
- Signals
- 1
since Jun 16, 2025
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Jun 16, 2025 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedApr 3, 2019 to Dec 7, 2023 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMApr 18, 2017 to Mar 25, 2019 · Grand Rapids, Mi
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to L•• E••••••••• L••left Dec 7, 2023, registered Jun 16, 2025 (557 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to L•• F•••••••• L••left Mar 25, 2019, registered Apr 3, 2019 (9 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedDec 7, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote