DFX Intelligence
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Registered advisor
R•••••• L•••• B•••
Feed of 09/15/2026
At current firm
1 y
since Jun 30, 2025
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
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
- L•• F•••••••• L•• BD affiliated currentsince Jun 30, 2025 · Charlotte, Nc
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jun 6, 2025 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 21, 2021 to Mar 31, 2025 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseOct 17, 2019 to Apr 23, 2021 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Jun 6, 2025, registered Jun 30, 2025 (24 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 23, 2021, registered Jun 21, 2021 (59 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 6, 2025 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address