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

D•••••••• G••• L••••••••

W•••• F•••• A•••••••wirehouseBonita Springs, Fl dual registrantIAPD 4043179

Feed of 09/15/2026

Also filed as D•••••••• G••• L••••••••

At current firm

2 y

since Jan 23, 2024

In the industry

22 y

since Jun 8, 2004 (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

W•••• F•••• A••••••• wirehouse current
since Jan 23, 2024 · Naples, Fl
L•• F•••••••• L•• BD affiliated
Apr 5, 2021 to Jan 31, 2024 · San Diego, Ca
T• A••••••••• I••• former
Feb 28, 2018 to Jan 11, 2021 · Ft. Myers, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Dec 31, 2020 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Mar 29, 2017 to Feb 26, 2018 · Ft. Myers, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 8, 2007 to Jan 4, 2016 · Naples, Fl
T• A••••••••• I••• former
Nov 8, 2007 to Jan 4, 2016 · Naples, Fl
A••••••••• A•••••• S•••••••• I••• unclassified
Nov 6, 2006 to Oct 19, 2007 · Fort Myers, Fl
U•• F•••••••• S••••••• I••• wirehouse
Jun 15, 2004 to Nov 21, 2006 · Ft. Myers, Fl

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to W•••• F•••• A•••••••
left Jan 31, 2024, registered Jan 23, 2024 (-8 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••• to L•• F•••••••• L••
left Jan 11, 2021, registered Apr 5, 2021 (84 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Feb 28, 2018 (-1037 days) · corporate re-registration, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 4, 2016, registered Nov 8, 2007 (-2979 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jan 4, 2016, registered Nov 8, 2007 (-2979 days) · Other
A••••••••• A•••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 19, 2007, registered Nov 8, 2007 (20 days) · Other
U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Nov 21, 2006, registered Nov 6, 2006 (-15 days) · Other

Signals

D•••••••• G••• L•••••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-01-23)
Jan 31, 2024 · a•••••• firm change · 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: Wirehousederived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address