DFX Intelligence
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Registered advisor
S••••• L• S•••••••
Feed of 09/14/2026
Also filed as S••••• L• S••••••••• L• S•••••••
At current firm
9 y
since Jan 20, 2017
In the industry
12 y
since Oct 7, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• S••••••••• I••• BD affiliated currentsince Jan 20, 2017 · Monroeville, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Dec 31, 2016 · Columbus, Oh
- L•• F•••••••• L•• BD affiliatedJan 20, 2015 to Sep 21, 2016 · North Huntingdon, Pa
- C••••••• S••••••••• I••• BD affiliatedMay 19, 2014 to Jan 30, 2015 · Greensburg, Pa
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to C••••••• S••••••••• I•••left Dec 31, 2016, registered Jan 20, 2017 (20 days) · Other · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Jan 30, 2015, registered Jan 20, 2015 (-10 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address