DFX Intelligence
RIA Intelligence
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Registered advisor
L•••• A•••
Feed of 09/14/2026
At current firm
0 y
since May 22, 2026
In the industry
11 y
since Jan 1, 2015 (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
- E•••••••• A•••••••• L•• national BD currentsince May 22, 2026 · Scottsdale, Az
- L•• F•••••••• L•• BD affiliatedJan 13, 2026 to Jun 5, 2026 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Jun 5, 2026, registered May 22, 2026 (-14 days) · Affiliated broker-dealer or bank to another
Signals
- L•••• A••• left L•• F•••••••• L•• for E•••••••• A•••••••• L•• (registered 2026-05-22)Jun 5, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address