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•••••• L•••• V•••••••••

L•• F•••••••• L••BD affiliatedHonolulu, Hi dual registrantIAPD 2614377

Feed of 09/14/2026

Also filed as M•••••• L•••• V•••••••••

At current firm

1 y

since Mar 3, 2025

In the industry

31 y

since Jun 26, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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 Mar 3, 2025 · Kapolei, Hi
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 27, 2020 to Feb 19, 2025 · Aiea, Hi
A• W••••• M••••••••• L•• BD affiliated
Sep 18, 2020 to Oct 20, 2020 · Honolulu, Hi
W•••••• • R••• former
Feb 14, 2019 to Aug 17, 2020 · Newport Beach, Ca
C••••• A•••••• N••••••• L•• former
Apr 3, 2018 to Feb 1, 2019 · Boise, Id
L•• F•••••••• L•• BD affiliated
Dec 15, 2016 to Apr 30, 2018 · Boise, Id
L•• F•••••••• L•• BD affiliated
May 1, 2015 to Aug 4, 2016 · Medford, Or
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to May 4, 2015 · Nampa, Id
C••••• I••••••••• S••••••• L•• former
Nov 13, 2003 to Jan 21, 2014 · Nampa, Id
W•••• F•••• I••••••••• L•• unclassified
May 21, 2002 to Jun 27, 2002 · Boise, Id

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Feb 19, 2025, registered Mar 3, 2025 (12 days) · Affiliated broker-dealer or bank to another
A• W••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
left Oct 20, 2020, registered Oct 27, 2020 (7 days) · RIA to affiliated broker-dealer or bank
W•••••• • R••• to A• W••••• M••••••••• L••
left Aug 17, 2020, registered Sep 18, 2020 (32 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A•••••• N••••••• L•• to W•••••• • R•••
left Feb 1, 2019, registered Feb 14, 2019 (13 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C••••• A•••••• N••••••• L••
left Apr 30, 2018, registered Apr 3, 2018 (-27 days) · RIA to affiliated broker-dealer or bank
C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left May 4, 2015, registered May 1, 2015 (-3 days) · Other
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
W•••• F•••• I••••••••• L•• to C••••• I••••••••• S••••••• L••
left Jun 27, 2002, registered Nov 13, 2003 (504 days) · Other

Signals

M•••••• L•••• V••••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-03-03)
Feb 19, 2025 · a•••••• firm change · 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address