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••• L•••••• R•••••

O••••••••• • C•• I•••BD affiliatedBellevue, Wa dual registrantIAPD 2351127

Feed of 09/15/2026

Also filed as L••• D L••••••

At current firm

5 y

since Jul 14, 2021

In the industry

33 y

since Jun 4, 1993 (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

O••••••••• • C•• I••• BD affiliated current
since Jul 14, 2021 · Bellevue, Wa
L•• F•••••••• L•• BD affiliated
Nov 2, 2017 to Jul 14, 2021 · Portland, Or
W•••• F•••• A••••••• wirehouse
Sep 29, 2011 to Nov 3, 2017 · Portland, Or
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jun 30, 2010 to Aug 23, 2010 · Portland, Or
M••••• S•••••• • C•• L•• unclassified
Jun 12, 2008 to Jul 15, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to O••••••••• • C•• I•••
left Jul 14, 2021, registered Jul 14, 2021 (0 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to L•• F•••••••• L••
left Nov 3, 2017, registered Nov 2, 2017 (-1 days) · Other · moved with a team
N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••
left Aug 23, 2010, registered Sep 29, 2011 (402 days) · Other
M••••• S•••••• • C•• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Jul 15, 2009, registered Jun 30, 2010 (350 days) · Other

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: Broker-dealer affiliated wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address