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•••••• L••

J••• M••••• S••••••••• L••wirehouseNew York, Nydual registrantIAPD 5777081
Feed of 09/14/2026
Also filed as J•••••• S•• H••• L••••••••• S•• H••• L••••••••• S• L••••••••• L•••••• J•••••• H••••••••• S•••••• L••
At current firm
2 y
since May 21, 2024
In the industry
15 y
since Oct 18, 2010 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • ••• Locked
    May 2, 2024 · Advisor changed firm · fact
  • ••• Locked
    May 24, 2023 · Advisor changed firm · fact
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