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.

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Registered advisor

R•••••• M•••• L•••••••

L•• F•••••••• L••BD affiliatedMercer Island, Wadual registrantIAPD 3259039

Feed of 09/14/2026

Also filed as Rich L•••••••

At current firm

5 y

since Oct 1, 2020

In the industry

27 y

since Jul 22, 1999 (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 Oct 1, 2020 · Mercer Island, Wa
E• R•••• I••••••••• L•• former
May 30, 2008 to Nov 6, 2020 · Mercer Island, Wa
E• R•••• A•••••••• L•• unclassified
Jul 15, 2005 to Dec 31, 2007 · Seattle, Wa
F•••• A••••• S••••••••• I••• former
May 17, 2004 to Jul 19, 2005 · Mercer Island, Wa
R•••• M•••••••• I••••••••• S•••••••• L•• unclassified
May 4, 2000 to May 17, 2004 · Mercer Island, Wa

Moves

a registration end followed by a registration begin elsewhere

E• R•••• I••••••••• L•• to L•• F•••••••• L••
left Nov 6, 2020, registered Oct 1, 2020 (-36 days) · corporate re-registration, not a move
E• R•••• A•••••••• L•• to E• R•••• I••••••••• L••
left Dec 31, 2007, registered May 30, 2008 (151 days) · Other
F•••• A••••• S••••••••• I••• to E• R•••• A•••••••• L••
left Jul 19, 2005, registered Jul 15, 2005 (-4 days) · Other
R•••• M•••••••• I••••••••• S•••••••• L•• to F•••• A••••• S••••••••• I•••
left May 17, 2004, registered May 17, 2004 (0 days) · Other

Signals

No dated event on this person.

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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address