DFX Intelligence
RIA Intelligence
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Registered advisor
D•••••• L• R••••••••
Feed of 09/14/2026
Also filed as D•••••• L• R••••••••
At current firm
1 y
since May 15, 2025
In the industry
19 y
since Aug 1, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Charlotte, Nc
- C••• F•••••••• S•••••••• L••• formerJul 10, 2019 to May 15, 2025 · San Diego, Ca
- C••• B•••••••• S•••••••• I••• formerJun 26, 2009 to Jul 12, 2019 · Winston Salem, Nc
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Jul 12, 2019, registered Jul 10, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
No dated event on this person.
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
- 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