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.
Feed of 09/14/2026
Also filed as L•••• J••• Kavanagh
At current firm
2 y
since Jun 27, 2024
In the industry
15 y
since Apr 21, 2011 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 27, 2024 · Mystic, Ct
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Jun 27, 2024 · Mystic, Ct
- C••••• A•••••• N••••••• L•• formerJun 9, 2021 to Jun 29, 2023 · Mystic, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 6, 2012 to Jun 9, 2021 · Mystic, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 11, 2012 to Oct 15, 2012 · Mystic, Ct
- M••••• S•••••• wirehouseApr 25, 2011 to May 4, 2012 · Mystic, Ct
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Jun 27, 2024, registered Jun 27, 2024 (0 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to V••• F•••••••• A•••••••• I•••left Oct 15, 2012, registered Nov 6, 2012 (22 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 4, 2012, registered Jul 11, 2012 (68 days) · Other
Signals
- L•••• J••• L•• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-06-27)Jun 27, 2024 · a•••••• firm change · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address