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

D•••• T•••• S•••••

L•• F•••••••• L••BD affiliatedAiea, Hi dual registrantIAPD 1902443

Feed of 09/16/2026

At current firm

1 y

since Nov 22, 2024

In the industry

37 y

since May 26, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

L•• F•••••••• L•• BD affiliated current
since Nov 22, 2024 · Aiea, Hi
C••• F•••••••• S•••••••• L••• former
Dec 13, 2019 to Nov 25, 2024 · San Diego, Ca
T••••••••• R••••••••• A•••••••• L•• BD affiliated
Sep 18, 2017 to Nov 5, 2019 · Walpahu, Hi
U•••• F•••••••• S••••••• G••••• I••• unclassified
Dec 11, 2002 to Jul 8, 2004 · Honolulu, Hi
C••••• A•••••• N••••••• L•• former
Aug 21, 2002 to Dec 2, 2002 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left Nov 25, 2024, registered Nov 22, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
T••••••••• R••••••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Nov 5, 2019, registered Dec 13, 2019 (38 days) · Affiliated broker-dealer or bank to another
U•••• F•••••••• S••••••• G••••• I••• to T••••••••• R••••••••• A•••••••• L••
left Jul 8, 2004, registered Sep 18, 2017 (4820 days) · Other
C••••• A•••••• N••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••
left Dec 2, 2002, registered Dec 11, 2002 (9 days) · Other

Signals

D•••• T•••• S••••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2024-11-22)
Nov 25, 2024 · a•••••• firm change · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address