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••••• M••••••• V•••••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedTuscon, Az dual registrantIAPD 1430557

Feed of 09/14/2026

Also filed as L••••• M••••••• Ledgerwood

At current firm

9 y

since Jul 24, 2017

In the industry

33 y

since Apr 28, 1993 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jul 24, 2017 · Phoenix, Az
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 17, 2016 to Jul 28, 2017 · Phoenix, Az
O••••••••• • C•• I••• BD affiliated
Oct 16, 2007 to Oct 18, 2016 · Tucson, Az
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 8, 2007 to Oct 8, 2007 · Tucson, Az
W•••• F•••• A••••••• wirehouse
Feb 22, 1994 to Jun 7, 2005 · Tucson, Az

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jul 28, 2017, registered Jul 24, 2017 (-4 days) · Other
O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 18, 2016, registered Oct 17, 2016 (-1 days) · Other
C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••
left Oct 8, 2007, registered Oct 16, 2007 (8 days) · Other
W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
left Jun 7, 2005, registered Feb 8, 2007 (611 days) · Other

Signals

No dated event on this person.

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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address