DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

L•••• C•••• G••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 1035556

Feed of 09/15/2026

At current firm

1 y

since Nov 5, 2024

In the industry

42 y

since Sep 14, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Nov 5, 2024 · Trumbull, Ct
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Nov 6, 2024 · Trumbull, Ct
S••••••••• A•••••• A•••••••• I••• former
Nov 6, 2020 to Jun 14, 2024 · Fairfield, Ct
K•• F•••••••• S•••••••• I•• former
Mar 28, 2017 to Nov 6, 2020 · Seattle, Wa
N•••••••• W••••• P••••••• L•• former
Jun 19, 2014 to Apr 25, 2017 · West Hartford, Ct
M•• F•••••••• S•••••••• I••• former
Feb 24, 2010 to Apr 8, 2014 · Shelton, Ct
M•• I•••••••• S•••••••• L•• BD affiliated
May 2, 2002 to Feb 24, 2010 · Fairfield, Ct

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Nov 6, 2024, registered Nov 5, 2024 (-1 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••
left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
N•••••••• W••••• P••••••• L•• to K•• F•••••••• S•••••••• I••
left Apr 25, 2017, registered Mar 28, 2017 (-28 days) · Other
M•• F•••••••• S•••••••• I••• to N•••••••• W••••• P••••••• L••
left Apr 8, 2014, registered Jun 19, 2014 (72 days) · Other
M•• I•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••
left Feb 24, 2010, registered Feb 24, 2010 (0 days) · Other

Signals

L•••• C•••• G•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-11-05)
Nov 6, 2024 · 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address