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.

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Registered advisor

D•••• L••••••

L•• F•••••••• L••BD affiliatedSyracuse, Ny dual registrantIAPD 2465182

Feed of 09/14/2026

At current firm

1 y

since Jul 10, 2025

In the industry

32 y

since Jul 1, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

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 Jul 10, 2025 · Syracuse, Ny
C•••••• G•••• • C• I•• former
Dec 11, 2023 to Jul 10, 2025 · Syracuse, Ny
W••••••• F•••••••• S•••••••• I••• former
Oct 13, 2017 to Dec 13, 2023 · Scottsdale, Az
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Sep 6, 2011 to Oct 13, 2017 · El Segundo, Ca
C•••••••• F•••••••• G•••• A••••••• former
Feb 17, 2006 to Sep 9, 2011 · Goodyear, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to L•• F•••••••• L••
left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
W••••••• F•••••••• S•••••••• I••• to C•••••• G•••• • C• I••
left Dec 13, 2023, registered Dec 11, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W••••••• F•••••••• S•••••••• I•••
left Oct 13, 2017, registered Oct 13, 2017 (0 days) · Other · moved with a team
C•••••••• F•••••••• G•••• A••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Sep 9, 2011, registered Sep 6, 2011 (-3 days) · Other

Signals

D•••• L•••••• left W••••••• F•••••••• S•••••••• I••• for C•••••• G•••• • C• I•• (registered 2023-12-11)
Dec 13, 2023 · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address