DFX Intelligence
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Registered advisor
M•••••• D• L••••••
Feed of 09/15/2026
Also filed as M••• L••••••••• D••••• L••••••
At current firm
2 y
since Mar 26, 2024
In the industry
11 y
since Aug 1, 2015 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Mar 26, 2024 · Collinsville, Il
- C•••••• S••••• • C••• I••• national BDSep 30, 2022 to Jan 10, 2024 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 6, 2019 to Nov 13, 2020 · St Louis, Mo
- T• A••••••••• I••• formerMar 6, 2019 to Oct 14, 2022 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to T••••••• I••••••••• M••••••••• I•••left Jan 10, 2024, registered Mar 26, 2024 (76 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Sep 30, 2022 (-14 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 13, 2020, registered Mar 6, 2019 (-618 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- M•••••• D• L•••••• left C•••••• S••••• • C••• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2024-03-26)Jan 10, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address