DFX Intelligence
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Registered advisor
A•••••• L• P••••••••
Feed of 09/14/2026
Also filed as A•••••• L••••• P••••••••
At current firm
3 y
since May 30, 2023
In the industry
13 y
since Sep 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince May 30, 2023 · Fort Myers, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 21, 2019 to Nov 4, 2022 · New York, Ny
- F•••••••• A••••••• S•••••••• L•• formerJun 28, 2018 to Jun 21, 2019 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to M••••• S••••••left Nov 4, 2022, registered May 30, 2023 (207 days) · Affiliated broker-dealer or bank to wirehouse
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 21, 2019, registered Jun 21, 2019 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 4, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address