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••• R•••• B•••••

O•••• W•••••• I•••BD affiliatedScottsdale, Azdual registrantIAPD 3040406

Feed of 09/14/2026

At current firm

0 y

since Aug 14, 2026

In the industry

28 y

since Dec 1, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Aug 14, 2026 · Scottsdale, Az
H•••••• T••••••• • K•••• L•• independent RIA
Jan 15, 2025 to May 26, 2026 · Conshohocken, Pa
O•••• A••••••• S•••••••• L•• BD affiliated
Nov 8, 2024 to Jan 6, 2025 · Atlanta, Ga
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Jan 6, 2025 · Scottsdale, Az
A•••• P•••• A••••••• former
Nov 21, 2012 to Nov 8, 2024 · Lavista, Ne
S••••••••• A•••••• A•••••••• I••• former
Aug 7, 2009 to Jun 14, 2024 · La Vista, Ne

Moves

a registration end followed by a registration begin elsewhere

H•••••• T••••••• • K•••• L•• to O•••• W•••••• I•••
left May 26, 2026, registered Aug 14, 2026 (80 days) · RIA to affiliated broker-dealer or bank
O•••• A••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••
left Jan 6, 2025, registered Jan 15, 2025 (9 days) · Affiliated broker-dealer or bank to another
O•••• W•••••• I••• to O•••• A••••••• S•••••••• L••
left Jan 6, 2025, registered Nov 8, 2024 (-59 days) · Affiliated broker-dealer or bank to another
A•••• P•••• A••••••• to O•••• W•••••• I•••
left Nov 8, 2024, registered Jun 14, 2024 (-147 days) · channel change inside one enterprise, not a move · moved with a team
S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••
left Jun 14, 2024, registered Nov 21, 2012 (-4223 days) · channel change inside one enterprise, not a move · moved with a team

Signals

L••• R•••• B••••• left H•••••• T••••••• • K•••• L•• for O•••• W•••••• I••• (registered 2026-08-14)
May 26, 2026 · Advisor changed firm · fact
L••• R•••• B••••• left O•••• A••••••• S•••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2025-01-15)
Jan 6, 2025 · Advisor changed firm · fact
L••• R•••• B••••• left O•••• W•••••• I••• for O•••• A••••••• S•••••••• L•• (registered 2024-11-08)
Jan 6, 2025 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address