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

M••• W•••••• L•••••••

E•••••••• A•••••••• L••national BDLos Angeles, Ca dual registrantIAPD 2291478

Certified Financial Planner

Feed of 09/15/2026

Also filed as M••• L•••••••

At current firm

1 y

since Oct 29, 2024

In the industry

32 y

since Feb 4, 1994 (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

E•••••••• A•••••••• L•• national BD current
since Oct 29, 2024 · Scottsdale, Az
R•• C•••••• M••••••• L•• national BD
Sep 12, 2008 to Nov 27, 2024 · Beverly Hills, Ca
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Sep 16, 2008 · Beverly Hills, Ca
A• G• E•••••• • S•••• I••• unclassified
Jul 7, 2003 to Jan 1, 2008 · Beverly Hills, Ca
W•••• F•••• I••••••••• L•• unclassified
May 15, 2001 to Jul 22, 2003 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to E•••••••• A•••••••• L••
left Nov 27, 2024, registered Oct 29, 2024 (-29 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
left Sep 16, 2008, registered Sep 12, 2008 (-4 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
W•••• F•••• I••••••••• L•• to A• G• E•••••• • S•••• I•••
left Jul 22, 2003, registered Jul 7, 2003 (-15 days) · Other

Signals

M••• W•••••• L••••••• left R•• C•••••• M••••••• L•• for E•••••••• A•••••••• L•• (registered 2024-10-29)
Nov 27, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address