DFX Intelligence
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Registered advisor
R••••• L• C••••
Feed of 09/14/2026
At current firm
2 y
since Apr 10, 2024
In the industry
21 y
since Aug 1, 2005 (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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 10, 2024 · Birmingham, Al
- M••••• S•••••• wirehouseNov 10, 2021 to Apr 3, 2024 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 3, 2024, registered Apr 10, 2024 (7 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedApr 3, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address