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.
Feed of 09/15/2026
Also filed as Lisa Ann Lynch
At current firm
5 y
since Jul 1, 2021
In the industry
35 y
since Dec 3, 1990 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cw Advisors, LLC independent RIA currentsince Jul 1, 2021 · Westport, Ct
- J.P. Morgan Private Wealth Advisors LLC formerAug 3, 2020 to Jun 15, 2021 · Greenwich, Ct
- Brenton Point Wealth Advisors LLC formerNov 7, 2018 to Jun 19, 2020 · New York, Ny
- Fidelity Personal And Workplace Advisors formerJul 13, 2018 to Aug 16, 2018 · Boston, Ma
- Strategic Advisers LLC national BDSep 18, 2013 to Jul 13, 2018 · Greenwich, Ct
- UBS Financial Services Inc. wirehouseFeb 21, 2006 to Nov 14, 2006 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Private Wealth Advisors LLC to Cw Advisors, LLCleft Jun 15, 2021, registered Jul 1, 2021 (16 days) · Affiliated broker-dealer or bank to independent RIA
- Brenton Point Wealth Advisors LLC to J.P. Morgan Private Wealth Advisors LLCleft Jun 19, 2020, registered Aug 3, 2020 (45 days) · RIA to affiliated broker-dealer or bank
- Fidelity Personal And Workplace Advisors to Brenton Point Wealth Advisors LLCleft Aug 16, 2018, registered Nov 7, 2018 (83 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Strategic Advisers LLC to Fidelity Personal And Workplace Advisorsleft Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to Strategic Advisers LLCleft Nov 14, 2006, registered Sep 18, 2013 (2500 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address