DFX Intelligence
RIA Intelligence
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Registered advisor
L••• P•••
Feed of 09/14/2026
At current firm
4 y
since Oct 14, 2021
In the industry
12 y
since Oct 21, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 14, 2021 · Boca Raton, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 10, 2017 to Oct 4, 2021 · Boynton Beach, Fl
- P•• W••••• M••••••••• BD affiliatedMay 10, 2016 to Apr 27, 2017 · Royal Palm Beach, Fl
- E••••• J•••• national BDNov 6, 2013 to May 29, 2014 · Lake Worth, Fl
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 4, 2021, registered Oct 14, 2021 (10 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Apr 27, 2017, registered Oct 10, 2017 (166 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left May 29, 2014, registered May 10, 2016 (712 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address