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

D•••• C•••••• L•••••

A•••• W••••• A•••••••• L••BD affiliatedBoca Raton, Fl dual registrantIAPD 2569418

Feed of 09/14/2026

Also filed as D•••• C L•••••

At current firm

3 y

since Jan 19, 2023

In the industry

24 y

since Mar 20, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, 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•••• W••••• A•••••••• L•• BD affiliated current
since Jan 19, 2023 · Boca Raton, Fl
B• R•••• W••••• A•••••••• I••• BD affiliated
Jan 4, 2021 to Nov 16, 2022 · Boca Raton, Fl
S••••• C•••••• M••••••••• G••••• L•• unclassified
Jul 8, 2008 to Oct 1, 2010 · Boca Raton, Fl
G•••••••• F••••••••• I•• unclassified
May 27, 2005 to Mar 31, 2010 · Tampa, Fl
R••• B••• • C•• unclassified
Mar 20, 2002 to May 1, 2003 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

B• R•••• W••••• A•••••••• I••• to A•••• W••••• A•••••••• L••
left Nov 16, 2022, registered Jan 19, 2023 (64 days) · Affiliated broker-dealer or bank to another
S••••• C•••••• M••••••••• G••••• L•• to B• R•••• W••••• A•••••••• I•••
left Oct 1, 2010, registered Jan 4, 2021 (3748 days) · Other
G•••••••• F••••••••• I•• to S••••• C•••••• M••••••••• G••••• L••
left Mar 31, 2010, registered Jul 8, 2008 (-631 days) · Other
R••• B••• • C•• to G•••••••• F••••••••• I••
left May 1, 2003, registered May 27, 2005 (757 days) · Other

Signals

D•••• C•••••• L••••• left B• R•••• W••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-01-19)
Nov 16, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address