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•••••• D•••• A•••••

R•••••• J•••• • A••••••••• I•••national BDSpenceville, Md dual registrantIAPD 2102705

Feed of 09/14/2026

Also filed as L•••••• D•••• A•••••

At current firm

2 y

since May 6, 2024

In the industry

35 y

since Nov 28, 1990 (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

R•••••• J•••• • A••••••••• I••• national BD current
since May 6, 2024 · Spenceville, Md
W•••• F•••• A••••••• wirehouse
Dec 2, 2015 to May 15, 2024 · Bethesda, Md
U•• F•••••••• S••••••• I••• wirehouse
Aug 14, 2007 to Dec 11, 2015 · Bethesda, Md
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 15, 2002 to Aug 23, 2005 · Chevy Chase, Md
M••••• S•••••• D• I••• unclassified
Dec 2, 1991 to Aug 22, 2002 · Chevy Chase, Md

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••
left May 15, 2024, registered May 6, 2024 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Dec 11, 2015, registered Dec 2, 2015 (-9 days) · Wirehouse to wirehouse · moved with a team
B••• O• A•••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••
left Aug 23, 2005, registered Aug 14, 2007 (721 days) · Other
M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Aug 22, 2002, registered Oct 15, 2002 (54 days) · Other

Signals

L•••••• D•••• A••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-05-06)
May 15, 2024 · 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: National broker-dealer RIAderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address