DFX Intelligence
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Registered advisor
R•••••• M• O••••••••
Feed of 09/14/2026
Also filed as R•••••• M• O•••••••
At current firm
1 y
since Nov 14, 2024
In the industry
13 y
since Feb 8, 2013 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Ithaca, Ny
- P•••• S••••••••• L•• no RAUMJun 7, 2021 to Nov 14, 2024 · Cortland, Ny
- E••••• J•••• national BDAug 5, 2013 to Jan 27, 2015 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- E••••• J•••• to P•••• S••••••••• L••left Jan 27, 2015, registered Jun 7, 2021 (2323 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address