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••••••••

N••••••••• I••••••••• A•••••••• L••BD affiliatedColumbus, Ohdual registrantIAPD 3263201

Feed of 09/14/2026

Also filed as L••••••• V Garcia

At current firm

0 y

since Oct 14, 2025

In the industry

25 y

since Jul 6, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••••••••• I••••••••• A•••••••• L•• BD affiliated current
since Oct 14, 2025 · Columbus, Oh
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Oct 15, 2025 · Ocoee, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 13, 2023 to Mar 31, 2025 · Ocoee, Fl
M••••••••• R••••••••• BD affiliated
Apr 11, 2018 to Nov 8, 2022 · Windermere, Fl
U•••• F•••••••• S••••••• G••••• I••• unclassified
Sep 24, 2003 to Jul 19, 2005 · Charlotte, Nc
M••••• S•••••• D• I••• unclassified
Jan 22, 2002 to Jan 6, 2003 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to N••••••••• I••••••••• A•••••••• L••
left Oct 15, 2025, registered Oct 14, 2025 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
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
M••••••••• R••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Nov 8, 2022, registered Mar 13, 2023 (125 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to M••••••••• R•••••••••
left Jul 19, 2005, registered Apr 11, 2018 (4649 days) · Other
M••••• S•••••• D• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Jan 6, 2003, registered Sep 24, 2003 (261 days) · Other

Signals

L••••••• R•••••••• left S•••••••• A••••••• L•• for N••••••••• I••••••••• A•••••••• L•• (registered 2025-10-14)
Oct 15, 2025 · Advisor changed firm · fact
L••••••• R•••••••• left M••••••••• R••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-03-13)
Nov 8, 2022 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address