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.
Feed of 09/14/2026
Also filed as J•••••• L••• B•••
At current firm
1 y
since Jun 23, 2025
In the industry
15 y
since Mar 1, 2011 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jun 23, 2025 · Boca Raton, Fl
- U•• F•••••••• S••••••• I••• wirehouseJul 25, 2024 to Jun 5, 2025 · Boca Raton, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 14, 2022 to May 15, 2024 · Ft. Lauderdale, Fl
- C•••••• S••••• • C••• I••• national BDSep 26, 2016 to Apr 29, 2022 · Lone Tree, Co
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 5, 2025, registered Jun 23, 2025 (18 days) · Wirehouse to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to U•• F•••••••• S••••••• I•••left May 15, 2024, registered Jul 25, 2024 (71 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 29, 2022, registered Jul 14, 2022 (76 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- ••• LockedJun 5, 2025 · Advisor changed firm · fact
- ••• LockedMay 15, 2024 · Advisor changed firm · fact
- ••• LockedApr 29, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address