DFX Intelligence
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Registered advisor
C•••••• C••••••••
Feed of 09/14/2026
Also filed as C•••••• C••••••••• J•••• C••••••••
At current firm
1 y
since Nov 14, 2024
In the industry
13 y
since May 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Indianapolis, In
- P•••• S••••••••• L•• no RAUMSep 29, 2023 to Nov 14, 2024 · Swansea, Il
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 23, 2026 · Advisor registration ended · derived
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address