DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
Also filed as C••••••••• Leon S••••
At current firm
3 y
since Oct 11, 2022
In the industry
29 y
since Dec 1, 1996 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Oct 11, 2022 · Plano, Tx
- E••••• J•••• national BDFeb 5, 2020 to Aug 11, 2022 · Little Elm, Tx
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to F••••• I•••••••••left Aug 11, 2022, registered Oct 11, 2022 (61 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- C••••••••• L• S•••• left E••••• J•••• for F••••• I••••••••• (registered 2022-10-11)Aug 11, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address