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

G•••••• L••

W•••• F•••• A•••••••wirehouseWoodbury, Nydual registrantIAPD 3019015

Feed of 09/14/2026

Also filed as Gifford Alan Lee

At current firm

1 y

since Sep 30, 2024

In the industry

28 y

since Jun 19, 1998 (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

W•••• F•••• A••••••• wirehouse current
since Sep 30, 2024 · Woodbury, Ny
J••• M••••• S••••••••• L•• wirehouse
May 25, 2017 to Oct 1, 2024 · Mineola, Ny
C•••••• O•• A•••••••• L•• former
Apr 13, 2015 to Mar 24, 2017 · West Hempstead, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 10, 2012 to Feb 12, 2015 · Plainview, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 29, 2010 to Dec 20, 2011 · Great Neck, Ny
C•••• I••••••••• S••••••• C•••• former
Jan 6, 2010 to Jun 8, 2010 · Forest Hills, Ny
C••••••••• I••••••••• L•• mixed wealth
Dec 19, 2005 to Dec 15, 2008 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 15, 2005 to Dec 19, 2005 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Oct 1, 2024, registered Sep 30, 2024 (-1 days) · Wirehouse to wirehouse · moved with a team
C•••••• O•• A•••••••• L•• to J••• M••••• S••••••••• L••
left Mar 24, 2017, registered May 25, 2017 (62 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• A•••••••• L••
left Feb 12, 2015, registered Apr 13, 2015 (60 days) · Other
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 20, 2011, registered Jan 10, 2012 (21 days) · Other
C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••
left Jun 8, 2010, registered Jun 29, 2010 (21 days) · Other
C••••••••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••
left Dec 15, 2008, registered Jan 6, 2010 (387 days) · Other
C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••
left Dec 19, 2005, registered Dec 19, 2005 (0 days) · corporate re-registration, not a move

Signals

G•••••• L•• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2024-09-30)
Oct 1, 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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address