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••• T•••••••

L•• F•••••••• L••BD affiliatedFountain Hills, Az dual registrantIAPD 2846261

Feed of 09/14/2026

Also filed as L•••• A••• T•••••••

At current firm

1 y

since Jan 31, 2025

In the industry

24 y

since Mar 25, 2002 (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 Jan 31, 2025 · Fountain Hills, Az
A••••••• F•••••••• A•••••••• L•• BD affiliated
Jun 3, 2024 to Dec 10, 2024 · Phoenix, Az
E•••••• F•••••••• E•••••• independent RIA
Jul 27, 2022 to Apr 15, 2024 · Pineville, Mo
T• A••••••••• I••• former
Jul 21, 2010 to Oct 15, 2021 · San Diego, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 21, 2010 to Aug 1, 2017 · San Diego, Ca
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Mar 2, 2010 to Jun 14, 2010 · San Diego, Ca
C•••• I••••••••• S••••••• C•••• former
Jun 20, 2008 to Jan 21, 2010 · Phoenix, Az
T• A••••••••• I••• former
Sep 12, 2003 to Mar 22, 2004 · Carlsbad, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••
left Dec 10, 2024, registered Jan 31, 2025 (52 days) · Affiliated broker-dealer or bank to another
E•••••• F•••••••• E•••••• to A••••••• F•••••••• A•••••••• L••
left Apr 15, 2024, registered Jun 3, 2024 (49 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to E•••••• F•••••••• E••••••
left Oct 15, 2021, registered Jul 27, 2022 (285 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 1, 2017, registered Jul 21, 2010 (-2568 days) · channel change inside one enterprise, not a move · moved with a team
N••••••••• M••••• I••••••••• S••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 14, 2010, registered Jul 21, 2010 (37 days) · Other
C•••• I••••••••• S••••••• C•••• to N••••••••• M••••• I••••••••• S•••••••••
left Jan 21, 2010, registered Mar 2, 2010 (40 days) · Other
T• A••••••••• I••• to C•••• I••••••••• S••••••• C••••
left Mar 22, 2004, registered Jun 20, 2008 (1551 days) · Other

Signals

L•••• A••• T••••••• left A••••••• F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-01-31)
Dec 10, 2024 · Advisor changed firm · fact
L•••• A••• T••••••• left E•••••• F•••••••• E•••••• for A••••••• F•••••••• A•••••••• L•• (registered 2024-06-03)
Apr 15, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address