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

S•••••• L••••• R••

U•• F•••••••• S••••••• I•••wirehouseWashington, Dcdual registrantIAPD 1382906

Feed of 09/14/2026

Also filed as S•••••• L••••• R••

At current firm

0 y

since Jun 15, 2026

In the industry

30 y

since Apr 26, 1996 (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

U•• F•••••••• S••••••• I••• wirehouse current
since Jun 15, 2026 · Washington, Dc
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2015 to May 15, 2026 · Washington, Dc
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 27, 2015 · Washington, Dc
M••••• S•••••• • C•• L•• unclassified
Mar 27, 2008 to Jun 1, 2009 · Washington, Dc
U•• F•••••••• S••••••• I••• wirehouse
Jul 5, 1996 to Apr 14, 2008 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••
left May 15, 2026, registered Jun 15, 2026 (31 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Feb 27, 2015, registered Feb 13, 2015 (-14 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••
left Apr 14, 2008, registered Mar 27, 2008 (-18 days) · Other

Signals

S•••••• L••••• R•• left R•••••• J•••• • A••••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2026-06-15)
May 15, 2026 · 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: Wirehousederived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address