DFX 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
L••• B••• S•••••
Feed of 09/14/2026
Also filed as L••• C•••••••• B••• C•••
At current firm
4 y
since Jul 11, 2022
In the industry
13 y
since Nov 21, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, 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
- F•••• T•••• A••••••• L• asset manager currentsince Jul 11, 2022 · Wheaton, Il
- A••••• A•• P••••••• S••••••• BD affiliatedNov 3, 2015 to Dec 16, 2015 · Dublin, Oh
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to F•••• T•••• A••••••• L•left Dec 16, 2015, registered Jul 11, 2022 (2399 days) · Other
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address