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

T•••••• C•••••• S•••••

L•• F•••••••• L••BD affiliatedAlexandria, Vadual registrantIAPD 1311346

Feed of 09/14/2026

At current firm

2 y

since Aug 20, 2024

In the industry

34 y

since Feb 10, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

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 Aug 20, 2024 · Alexandria, Va
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Aug 22, 2024 · Alexandria, Va
S••••••••• A•••••• A•••••••• I••• former
Dec 7, 2021 to Jun 14, 2024 · Alexandria, Va
U••••••••• W••••• M••••••••• L•• independent RIA
May 31, 2019 to Aug 29, 2024 · Washington, Dc
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated
Jan 8, 2003 to Dec 31, 2008 · Washington, Dc
U•• F•••••••• S••••••• I••• wirehouse
Sep 1, 1999 to Jan 14, 2003 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

U••••••••• W••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Aug 29, 2024, registered Dec 7, 2021 (-996 days) · RIA to affiliated broker-dealer or bank
O•••• W•••••• I••• to L•• F•••••••• L••
left Aug 22, 2024, registered Aug 20, 2024 (-2 days) · corporate re-registration, not a move
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to U••••••••• W••••• M••••••••• L••
left Dec 31, 2008, registered May 31, 2019 (3803 days) · Other
U•• F•••••••• S••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••
left Jan 14, 2003, registered Jan 8, 2003 (-6 days) · Other

Signals

T•••••• C•••••• S••••• left U••••••••• W••••• M••••••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2021-12-07)
Aug 29, 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address