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

G•••••• L•••••••

L•• F•••••••• L••BD affiliatedMontpelier, Vt dual registrantIAPD 1095876

Feed of 09/15/2026

At current firm

0 y

since Jan 1, 2026

In the industry

22 y

since Feb 23, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 Jan 1, 2026 · St Albans, Vt
C••• F•••••••• S•••••••• L••• former
Oct 31, 2012 to Jan 25, 2023 · San Diego, Ca
C•••••• G•••• • C• I•• former
Aug 4, 2011 to Oct 10, 2012 · Wantage, Nj
N•• E•••••• S••••••••• C••••••••• former
Apr 19, 2006 to Oct 27, 2010 · East Providence, Ri
E•• F•••••••• A••••••• independent RIA
Jul 19, 2004 to Jul 7, 2005 · St Albans, Vt

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left Jan 25, 2023, registered Jan 1, 2026 (1072 days) · Affiliated broker-dealer or bank to another
C•••••• G•••• • C• I•• to C••• F•••••••• S•••••••• L•••
left Oct 10, 2012, registered Oct 31, 2012 (21 days) · Other
N•• E•••••• S••••••••• C••••••••• to C•••••• G•••• • C• I••
left Oct 27, 2010, registered Aug 4, 2011 (281 days) · Other
E•• F•••••••• A••••••• to N•• E•••••• S••••••••• C•••••••••
left Jul 7, 2005, registered Apr 19, 2006 (286 days) · Other

Signals

G•••••• L••••••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2026-01-01)
Jan 25, 2023 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address