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••••• A•• C••••••

L•• F•••••••• L••BD affiliatedDiamond Bar, Cadual registrantIAPD 2459805

Feed of 09/14/2026

Also filed as L••••• Ann Fisher

At current firm

1 y

since Aug 19, 2025

In the industry

29 y

since Oct 7, 1996 (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

L•• F•••••••• L•• BD affiliated current
since Aug 19, 2025 · Diamond Bar, Ca
C•••••••• F••••••••• I••• BD affiliated
Aug 8, 2014 to Aug 5, 2024 · Upland, Ca
F•• S••••••••• C••••••••• former
May 13, 2013 to Aug 8, 2014 · Upland, Ca
L•• F•••••••• L•• BD affiliated
Sep 17, 2009 to May 16, 2013 · Upland, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
May 8, 2008 to Jun 25, 2009 · Rancho Cucamonga, Ca
F••••••• F•••••••• A••••••• independent RIA
Dec 19, 2002 to Sep 23, 2008 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

C•••••••• F••••••••• I••• to L•• F•••••••• L••
left Aug 5, 2024, registered Aug 19, 2025 (379 days) · Affiliated broker-dealer or bank to another
F•• S••••••••• C••••••••• to C•••••••• F••••••••• I•••
left Aug 8, 2014, registered Aug 8, 2014 (0 days) · Other
L•• F•••••••• L•• to F•• S••••••••• C•••••••••
left May 16, 2013, registered May 13, 2013 (-3 days) · Other
A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Jun 25, 2009, registered Sep 17, 2009 (84 days) · Other
F••••••• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Sep 23, 2008, registered May 8, 2008 (-138 days) · Other

Signals

L••••• A•• C•••••• left C•••••••• F••••••••• I••• for L•• F•••••••• L•• (registered 2025-08-19)
Aug 5, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address