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

R•••••• L••••• C•••••••••

S••••• G••••• I••••••••• L••mixed wealthDraper, Ut dual registrantIAPD 1362301

Feed of 09/15/2026

Also filed as Rich L C•••••••••

At current firm

3 y

since Aug 15, 2023

In the industry

41 y

since Jun 10, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• G••••• I••••••••• L•• mixed wealth current
since Aug 15, 2023 · Bountiful, Ut
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jan 6, 2012 to Jul 28, 2023 · Draper, Ut
I••••••••• A••••••• I••••••••• I••• unclassified
Aug 8, 2006 to Jan 6, 2012 · Draper, Ut
T••••••••• F•••••••• A•••••••• L•• BD affiliated
May 4, 2005 to Aug 24, 2006 · Sandy, Ut

Moves

a registration end followed by a registration begin elsewhere

T••••••••• F•••••••• A•••••••• L•• to S••••• G••••• I••••••••• L••
left Jul 28, 2023, registered Aug 15, 2023 (18 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••
left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••
left Aug 24, 2006, registered Aug 8, 2006 (-16 days) · corporate re-registration, not a move

Signals

R•••••• L••••• C••••••••• left T••••••••• F•••••••• A•••••••• L•• for S••••• G••••• I••••••••• L•• (registered 2023-08-15)
Jul 28, 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: Wealth manager with institutional or fund businessderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address