DFX Intelligence
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Registered advisor
R••• L• E••
Feed of 09/14/2026
Also filed as R••• L• E••
At current firm
1 y
since Feb 21, 2025
In the industry
17 y
since Sep 1, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 21, 2025 · South Williamsport, Pa
- L•• F•••••••• L•• BD affiliatedMar 1, 2023 to Mar 11, 2025 · Williamsport, Pa
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 14, 2021 to Mar 1, 2023 · Williamsport, Pa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 11, 2025, registered Feb 21, 2025 (-18 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Mar 1, 2023, registered Mar 1, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Signals
- ••• LockedMar 11, 2025 · Advisor changed firm · fact
- ••• LockedMar 1, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address