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
L••••• D•••••••••
Feed of 09/14/2026
Also filed as L••••• D••••••••• C• D• D••••••••• D• D••••••••• C• D•••• D••••••••• D••••••••• D••••• D••••••••• D•••• D••••••
At current firm
1 y
since Apr 29, 2025
In the industry
12 y
since Feb 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 29, 2025 · Douglasville, Ga
- J••• M••••• S••••••••• L•• wirehouseMar 4, 2024 to Mar 7, 2025 · Douglasville, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 16, 2021 to Nov 8, 2023 · Ewing, Nj
- J••• M••••• S••••••••• L•• wirehouseDec 22, 2020 to May 3, 2021 · Hamilton Square, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2018 to Dec 17, 2020 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 7, 2025, registered Apr 29, 2025 (53 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Nov 8, 2023, registered Mar 4, 2024 (117 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 3, 2021, registered Jun 16, 2021 (44 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Dec 17, 2020, registered Dec 22, 2020 (5 days) · Wirehouse to wirehouse
Signals
- ••• LockedMar 7, 2025 · Advisor changed firm · fact
- ••• LockedNov 8, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address