DFX Intelligence
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Registered advisor
A•••••• L• R••••••
Feed of 09/17/2026
Also filed as A•••••• L••••• R••••••
At current firm
0 y
since Nov 4, 2025
In the industry
11 y
since Jun 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
11
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
5
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Nov 4, 2025 · Maryland Heights, Mo
- W•••• F•••• A••••••• wirehouseDec 4, 2021 to Aug 7, 2024 · Roxboro, Nc
- P•••• S••••••••• L•• no RAUMMar 29, 2019 to Sep 20, 2021 · Raleigh, Nc
- E••••• J•••• national BDDec 10, 2015 to Jan 10, 2019 · Oxford, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E••••• J••••left Aug 7, 2024, registered Nov 4, 2025 (454 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 20, 2021, registered Dec 4, 2021 (75 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to P•••• S••••••••• L••left Jan 10, 2019, registered Mar 29, 2019 (78 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedSep 14, 2026 · New state registration · fact
- ••• LockedSep 10, 2026 · New state registration · fact
- ••• LockedAug 26, 2026 · New state registration · fact
- ••• LockedAug 7, 2026 · New state registration · fact
- ••• LockedAug 7, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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