DFX Intelligence
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Registered advisor
M•••••• B•••••• L•••••••••
Feed of 09/14/2026
At current firm
12 y
since Nov 4, 2013
In the industry
15 y
since Feb 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Nov 4, 2013 · Atlanta, Ga
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 23, 2012 to Sep 10, 2013 · Durham, Nc
- E•••••••• A•••••••• L•• national BDFeb 7, 2011 to Feb 29, 2012 · Cary, Nc
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••left Sep 10, 2013, registered Nov 4, 2013 (55 days) · Other
- E•••••••• A•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 29, 2012, registered Apr 23, 2012 (54 days) · Other
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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address