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••••• N••••• M•••••

U••• B•••••• A•••••••• L••BD affiliatedSaint Paul, Mn dual registrantIAPD 4050273

Feed of 09/15/2026

Also filed as L••••• N••••• Hastie

At current firm

0 y

since Sep 26, 2025

In the industry

26 y

since Nov 17, 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

U••• B•••••• A•••••••• L•• BD affiliated current
since Sep 26, 2025 · Saint Paul, Mn
U••• B•••••• I••••••••• I••• former
Apr 2, 2025 to Feb 13, 2026 · Brea, Ca
L•• F•••••••• L•• BD affiliated
Mar 20, 2018 to Apr 17, 2025 · San Diego, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Aug 26, 2015 to Jan 2, 2018 · El Segundo, Ca
W••• I••••••••• I••• unclassified
Jun 26, 2006 to May 6, 2009 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Sep 26, 2025 (-140 days) · corporate re-registration, not a move
L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••
left Apr 17, 2025, registered Apr 2, 2025 (-15 days) · Affiliated broker-dealer or bank to another
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••
left Jan 2, 2018, registered Mar 20, 2018 (77 days) · Other · moved with a team
W••• I••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left May 6, 2009, registered Aug 26, 2015 (2303 days) · Other

Signals

L••••• N••••• M••••• left L•• F•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2025-04-02)
Apr 17, 2025 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address