DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• L•• M••••••
Feed of 09/15/2026
At current firm
13 y
since Feb 13, 2013
In the industry
45 y
since Nov 3, 1980 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Venice, Fl
- M••••• K••••• • C••••••• L•• formerAug 27, 2010 to Feb 13, 2013 · Swansea, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 18, 2005 to Aug 31, 2010 · Swansea, Il
- A• G• E•••••• • S•••• I••• unclassifiedNov 30, 2000 to May 18, 2005 · Fairview Heights, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• K••••• • C••••••• L••left Aug 31, 2010, registered Aug 27, 2010 (-4 days) · Other
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 18, 2005, registered May 18, 2005 (0 days) · Other
Signals
No dated event on this person.
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address