DFX Intelligence
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Registered advisor
J••• L••
Feed of 09/14/2026
Also filed as J••• L••
At current firm
11 y
since Apr 20, 2015
In the industry
17 y
since Apr 23, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, 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
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Apr 20, 2015 · Redwood City, Ca
- C•••• I••••••••• S••••••• C•••• formerNov 10, 2010 to Mar 29, 2011 · San Francisco, Ca
- W•••••• • R••• formerJul 20, 2009 to Oct 28, 2009 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 29, 2011, registered Apr 20, 2015 (1483 days) · Other
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Oct 28, 2009, registered Nov 10, 2010 (378 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
- No RAUM reportedderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address