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.

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Registered advisor

L•••• C•••• C••••••••

C••••••••• I••••••••• A•••••••• L••independent RIAPlainview, Ny dual registrantIAPD 2074634

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as L•••• C C••••••••

At current firm

1 y

since Nov 29, 2024

In the industry

36 y

since Sep 10, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

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••••••••• A•••••••• L•• independent RIA current
since Nov 29, 2024 · Plainview, Ny
T••••••• A•••••• N••••••• L•• BD affiliated
May 14, 2021 to Dec 24, 2024 · Plainview, Ny
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 9, 2017 to Dec 31, 2018 · Plainview, Ny
P••••••••• P••••••• S••••••• former
Jul 12, 2013 to Jul 22, 2013 · Melville, Ny
A••••••• P••••••••• A•••••••• I•• former
Aug 8, 2008 to Jul 22, 2014 · Holbrook, Ny

Moves

a registration end followed by a registration begin elsewhere

T••••••• A•••••• N••••••• L•• to C••••••••• I••••••••• A•••••••• L••
left Dec 24, 2024, registered Nov 29, 2024 (-25 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
A••••••••• F•••••••• S•••••••• L•• to T••••••• A•••••• N••••••• L••
left Dec 31, 2018, registered May 14, 2021 (865 days) · Affiliated broker-dealer or bank to another
A••••••• P••••••••• A•••••••• I•• to P••••••••• P••••••• S•••••••
left Jul 22, 2014, registered Jul 12, 2013 (-375 days) · Other
P••••••••• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••
left Jul 22, 2013, registered Nov 9, 2017 (1571 days) · Other

Signals

L•••• C•••• C•••••••• left T••••••• A•••••• N••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2024-11-29)
Dec 24, 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: Independent wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address