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
R•••••• S•••• L••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••• S•••• L••••••••• L••••••••• S•••• L••••••••• L••••••••• L••••••••• S• L••••••••• L••••
At current firm
1 y
since Mar 31, 2025
In the industry
13 y
since Aug 1, 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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Loomis, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 17, 2022 to Mar 31, 2025 · Roseville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 6, 2020 to Mar 3, 2022 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 3, 2022, registered May 17, 2022 (75 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedMar 3, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address