DFX Intelligence
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Registered advisor
L•••••• C•••••••• C••••••
Feed of 09/22/2026
Also filed as L•••••• C••••••••• C•••••••• C••••••
At current firm
0 y
since Sep 21, 2026
In the industry
10 y
since Apr 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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 Sep 21, 2026 · Medford, Or
- L•• F•••••••• L•• BD affiliatedJan 21, 2026 to Sep 11, 2026 · Medford, Or
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAJul 11, 2024 to Dec 22, 2025 · Medford, Or
- O••••• P•••••• F•••••••• A••••••• I•• formerAug 10, 2023 to Dec 31, 2024 · Medford, Or
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 11, 2026, registered Sep 21, 2026 (10 days) · Affiliated broker-dealer or bank to another · moved with a team
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to L•• F•••••••• L••left Dec 22, 2025, registered Jan 21, 2026 (30 days) · RIA to affiliated broker-dealer or bank
- O••••• P•••••• F•••••••• A••••••• I•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 31, 2024, registered Jul 11, 2024 (-173 days) · RIA to RIA
Signals
- ••• LockedSep 21, 2026 · Advisor registered · fact
- ••• LockedSep 11, 2026 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address