DFX Intelligence
RIA 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
J••••••• L••• M•••••
Feed of 09/15/2026
Also filed as L••• M•••••
At current firm
2 y
since Jul 29, 2024
In the industry
10 y
since Oct 8, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 29, 2024 · Floyds Knobs, In
- P•••• S••••••••• L•• no RAUMApr 6, 2018 to Sep 17, 2020 · Cincinnati, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 25, 2016 to Mar 28, 2018 · Louisville, Ky
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 8, 2015 to Feb 2, 2016 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Sep 17, 2020, registered Jul 29, 2024 (1411 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Mar 28, 2018, registered Apr 6, 2018 (9 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to M•• I•••••••• S•••••••• L••left Feb 2, 2016, registered Apr 25, 2016 (83 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address