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••• C•••••• B••••••

G•••••••• W••••• P•••••••BD affiliatedSan Diego, Ca dual registrantIAPD 3256015

Feed of 09/15/2026

Also filed as L••• C•••••• Frederick

At current firm

0 y

since Oct 14, 2025

In the industry

24 y

since Dec 19, 2001 (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

G•••••••• W••••• P••••••• BD affiliated current
since Oct 14, 2025 · San Diego, Ca
A••••• W••••• A••••••• former
Jan 12, 2023 to Aug 11, 2026 · San Diego, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 11, 2002 to Jan 18, 2023 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••• W••••• A••••••• to G•••••••• W••••• P•••••••
left Aug 11, 2026, registered Oct 14, 2025 (-301 days) · RIA to RIA · moved with a team
A••••••••• F•••••••• S•••••••• L•• to A••••• W••••• A•••••••
left Jan 18, 2023, registered Jan 12, 2023 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team

Signals

L••• C•••••• B•••••• left A••••• W••••• A••••••• for G•••••••• W••••• P••••••• (registered 2025-10-14)
Aug 11, 2026 · Advisor changed firm · fact
L••• C•••••• B•••••• left A••••••••• F•••••••• S•••••••• L•• for A••••• W••••• A••••••• (registered 2023-01-12)
Jan 18, 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: 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