DFX Intelligence
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Registered advisor
J••••••• L•••••• A••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Jan 1, 2015 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 26, 2022 to Mar 31, 2025 · Houston, Tx
- W•••• F•••• A••••••• wirehouseMar 10, 2021 to Aug 10, 2022 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 6, 2018 to Dec 31, 2020 · Houston, Tx
- T• A••••••••• I••• formerApr 6, 2018 to Jan 11, 2021 · Houston, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 22, 2015 to Apr 5, 2018 · Houston, Tx
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
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 10, 2022, registered Aug 26, 2022 (16 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to W•••• F•••• A•••••••left Jan 11, 2021, registered Mar 10, 2021 (58 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Apr 6, 2018 (-1000 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 5, 2018, registered Apr 6, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- J••••••• L•••••• A•••••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-08-26)Aug 10, 2022 · Advisor changed firm · fact
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address