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• L•••••

S•••••••• A••••••• L••national BDPhoenix, Azdual registrantIAPD 2902485

Feed of 09/14/2026

Also filed as M••••• Luz Balter

At current firm

1 y

since Mar 31, 2025

In the industry

29 y

since Aug 11, 1997 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Phoenix, Az
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 4, 2024 to Mar 31, 2025 · Phoenix, Az
V••••••• A•••••••• I••• BD affiliated
Feb 4, 2022 to Feb 2, 2023 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 2, 2012 to Dec 23, 2021 · Phoenix, Az
H•••••• T••••••• • K•••• L•• independent RIA
Feb 12, 2010 to Sep 26, 2012 · Chandler, Az
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 27, 2008 to Jan 12, 2010 · Scottsdale, Az
T• A••••••••• I••• former
Oct 27, 2008 to Jan 12, 2010 · Scottsdale, Az
C••••••••• I••••••••• S•••••••• I••• unclassified
Feb 4, 2008 to Sep 8, 2008 · Gilbert, Az
C•••• I••••••••• S••••••• C•••• former
Dec 5, 2005 to Aug 7, 2007 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
V••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 2, 2023, registered Apr 4, 2024 (427 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••
left Dec 23, 2021, registered Feb 4, 2022 (43 days) · Wirehouse to affiliated broker-dealer or bank
H•••••• T••••••• • K•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 26, 2012, registered Oct 2, 2012 (6 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 12, 2010, registered Oct 27, 2008 (-442 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jan 12, 2010, registered Oct 27, 2008 (-442 days) · Other
C••••••••• I••••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 8, 2008, registered Oct 27, 2008 (49 days) · Other
C•••• I••••••••• S••••••• C•••• to C••••••••• I••••••••• S•••••••• I•••
left Aug 7, 2007, registered Feb 4, 2008 (181 days) · Other

Signals

M••••• L• L••••• left V••••••• A•••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-04-04)
Feb 2, 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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address