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
A••••• L•••• L••
Feed of 09/14/2026
At current firm
2 y
since Oct 19, 2023
In the industry
14 y
since Jul 28, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 19, 2023 · Hamden, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJan 23, 2015 to Jan 2, 2019 · Minneapolis, Mn
- C••••••••• F•••••••• N•••••• national BDAug 26, 2014 to Dec 23, 2014 · St. Louis Park, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDJan 31, 2014 to Aug 1, 2014 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••left Jan 2, 2019, registered Oct 19, 2023 (1751 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to A••••••••• F•••••••• S•••••••• L••left Dec 23, 2014, registered Jan 23, 2015 (31 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 1, 2014, registered Aug 26, 2014 (25 days) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address