DFX Intelligence
RIA 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
T••• L•••• L••••
Feed of 09/14/2026
Also filed as T••• L L••••
At current firm
4 y
since Jan 27, 2022
In the industry
16 y
since Apr 14, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
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 Jan 27, 2022 · Orange Village, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 3, 2015 to Sep 7, 2023 · Beachwood, Oh
- T• A••••••••• I••• formerSep 3, 2015 to Oct 14, 2022 · Orange Village, Oh
- W•••• F•••• A••••••• wirehouseFeb 1, 2012 to Sep 3, 2015 · Cleveland, Oh
- P•••• S••••••••• L•• no RAUMApr 20, 2010 to Jan 30, 2012 · Uniontown, Oh
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 27, 2022 (-588 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Sep 3, 2015 (-2598 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left Sep 3, 2015, registered Sep 3, 2015 (0 days) · Other
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 30, 2012, registered Feb 1, 2012 (2 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address