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

C••••••••• L•••••

A••••••••• F•••••••• S•••••••• L••national BDPalm Beach Gardens, Fl dual registrantIAPD 2140189

Feed of 09/15/2026

Also filed as C••••••••• L L•••••

At current firm

0 y

since Aug 7, 2026

In the industry

35 y

since Jul 19, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Aug 7, 2026 · Palm Beach Gardens, Fl
O••••••••• • C•• I••• BD affiliated
Oct 2, 2018 to Aug 7, 2026 · Stamford, Ct
S•••••• N••••••• • C••••••• I••••••••• national BD
Jul 7, 2015 to Sep 28, 2018 · St. Louis, Mo
S••••• A••• A•••• M••••••••• I••• former
Oct 24, 2013 to Jul 7, 2015 · Stamford, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 4, 2010 to Jan 3, 2012 · Fairfield, Ct

Moves

a registration end followed by a registration begin elsewhere

O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••
left Aug 7, 2026, registered Aug 7, 2026 (0 days) · Affiliated broker-dealer or bank to another
S•••••• N••••••• • C••••••• I••••••••• to O••••••••• • C•• I•••
left Sep 28, 2018, registered Oct 2, 2018 (4 days) · Affiliated broker-dealer or bank to another
S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• A••• A•••• M••••••••• I•••
left Jan 3, 2012, registered Oct 24, 2013 (660 days) · Other

Signals

C••••••••• L••••• left O••••••••• • C•• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-08-07)
Aug 7, 2026 · 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