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•••• L•• G••••

L•• F•••••••• L••BD affiliatedWexford, Padual registrantIAPD 4220749

Feed of 09/14/2026

At current firm

2 y

since Aug 5, 2024

In the industry

24 y

since Jan 25, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 Aug 5, 2024 · Wexford, Pa
B•• F•••••••• S•••••••• L•• state registered
Sep 26, 2017 to Mar 14, 2025 · Wexford, Pa
O•••• F•• I••• former
Sep 1, 2016 to Aug 6, 2024 · Wexford, Pa
H• B•••• I••• former
Jun 9, 2010 to Sep 1, 2016 · Wexford, Pa

Moves

a registration end followed by a registration begin elsewhere

B•• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Mar 14, 2025, registered Aug 5, 2024 (-221 days) · Other
O•••• F•• I••• to B•• F•••••••• S•••••••• L••
left Aug 6, 2024, registered Sep 26, 2017 (-2506 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
H• B•••• I••• to O•••• F•• I•••
left Sep 1, 2016, registered Sep 1, 2016 (0 days) · Other

Signals

D•••• L•• G•••• left B•• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2024-08-05)
Mar 14, 2025 · Advisor changed firm · fact
D•••• L•• G•••• left O•••• F•• I••• for B•• F•••••••• S•••••••• L•• (registered 2017-09-26)
Aug 6, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address