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

D••••• A••• E••••

N•••••• A•••••••BD affiliatedNew Orleans, La IA-onlyIAPD 4018120

Feed of 09/15/2026

At current firm

2 y

since Sep 18, 2024

In the industry

25 y

since Dec 4, 2000 (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

N•••••• A••••••• BD affiliated current
since Sep 18, 2024 · Scottsdale, Az
L••••••••• L•• former
May 29, 2019 to Jan 16, 2020 · Scottsdale, Az
I••••••••• D••••• A•••••••• L•• independent RIA
Feb 8, 2019 to Sep 18, 2024 · Scottsdale, Az
L••••••••• L•• former
Sep 28, 2017 to Feb 14, 2019 · Scottsdale, Az
H•••••••• A•••••••• L•• BD affiliated
Jan 23, 2012 to Jan 25, 2018 · Chicago, Il
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 7, 2012 · Scottsdale, Az
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 18, 2008 to Jun 1, 2009 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

I••••••••• D••••• A•••••••• L•• to L••••••••• L••
left Sep 18, 2024, registered May 29, 2019 (-1939 days) · Other · moved with a team
L••••••••• L•• to N•••••• A•••••••
left Jan 16, 2020, registered Sep 18, 2024 (1707 days) · Other · moved with a team
L••••••••• L•• to I••••••••• D••••• A•••••••• L••
left Feb 14, 2019, registered Feb 8, 2019 (-6 days) · Other · moved with a team
H•••••••• A•••••••• L•• to L••••••••• L••
left Jan 25, 2018, registered Sep 28, 2017 (-119 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
M••••• S•••••• to H•••••••• A•••••••• L••
left Feb 7, 2012, registered Jan 23, 2012 (-15 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

D••••• A••• E•••• left I••••••••• D••••• A•••••••• L•• for L••••••••• L•• (registered 2019-05-29)
Sep 18, 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: 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