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

J•••• R•••••• L•••

L•• F•••••••• L••BD affiliatedCarrboro, Nc dual registrantIAPD 5746601

Feed of 09/15/2026

Also filed as Rick L•••

At current firm

1 y

since May 15, 2025

In the industry

16 y

since Mar 29, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Durham, Nc
C••• F•••••••• S•••••••• L••• former
Apr 21, 2020 to May 15, 2025 · Cunningham, Tn
L•• F•••••••• L•• BD affiliated
Jan 19, 2018 to Apr 22, 2020 · Raleigh, Nc
O•••• F•• I••• former
Nov 7, 2014 to Feb 16, 2018 · Fuquay Varina, Nc
W•••••• • R••• former
Sep 28, 2011 to Oct 27, 2014 · Raleigh, Nc
M••••• S•••••• wirehouse
Dec 14, 2010 to Aug 19, 2011 · Raleigh, Nc
E••••• J•••• national BD
Apr 15, 2010 to Oct 7, 2010 · Glendale, Az

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
L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Apr 22, 2020, registered Apr 21, 2020 (-1 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to L•• F•••••••• L••
left Feb 16, 2018, registered Jan 19, 2018 (-28 days) · Other · moved with a team
W•••••• • R••• to O•••• F•• I•••
left Oct 27, 2014, registered Nov 7, 2014 (11 days) · Other
M••••• S•••••• to W•••••• • R•••
left Aug 19, 2011, registered Sep 28, 2011 (40 days) · Other
E••••• J•••• to M••••• S••••••
left Oct 7, 2010, registered Dec 14, 2010 (68 days) · Affiliated broker-dealer or bank to wirehouse

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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address