DFX Intelligence
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Registered advisor
J••••• L•••
Feed of 09/14/2026
Also filed as J••••• A• L••••••••• A••••• L•••
At current firm
0 y
since Dec 16, 2025
In the industry
10 y
since Aug 1, 2016 (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•• F•••••••• L•• BD affiliated currentsince Dec 16, 2025 · Lexington, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 29, 2025 to Dec 9, 2025 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Dec 9, 2025, registered Dec 16, 2025 (7 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedDec 9, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address