DFX Intelligence
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Registered advisor
N••••••• Y• L••
Feed of 09/14/2026
Also filed as N••••••• Y•••••• L••••••••• L••
At current firm
2 y
since Sep 28, 2023
In the industry
22 y
since Sep 1, 2004 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- T• R••• P•••• A••••••••• I••• asset manager currentsince Sep 28, 2023 · Baltimore, Md
- F•••••• F•••••••• A•••••••• L•• BD affiliatedJun 11, 2021 to Jan 7, 2022 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- F•••••• F•••••••• A•••••••• L•• to T• R••• P•••• A••••••••• I•••left Jan 7, 2022, registered Sep 28, 2023 (629 days) · Other
Signals
- N••••••• Y• L•• left F•••••• F•••••••• A•••••••• L•• for T• R••• P•••• A••••••••• I••• (registered 2023-09-28)Jan 7, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address