DFX Intelligence
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J••••• E••••• L•••••
As of · the IAPD feed; also filed as J••••• L•••••
- At current firm
- 1 y
- In the industry
- 13 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 14, 2024
As of · the IAPD feed; also filed as J••••• L•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Outside business and network
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 2 disclosed outside organisations
- Owner, founder or manager of 1
Why it may matter
- someEntrepreneurial activityOwns, founded or manages 1 business entity outside the advisory practice (self-disclosed on Form U4).
- someExternal business breadthOutside business spans 1 category: operating company.
- L••••• L••• M••••••••• L••Operating companyOwner · since 2019-12-19
Small mowing business (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4 - F••••••••• o• C••••••• U••••••••• S•••••••Religious organisationVolunteer · since 2024-05-09
Non-profit with a missionary team (the advisor's own disclosure)
Involved with a religious organisation.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Evansville, In
- P•••• S••••••••• L•• no RAUMOct 21, 2024 to Nov 14, 2024 · Indianapolis, In
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
No dated event on this person.
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote