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

M•••• L• M•••••

M••••• S••••••wirehouseIrvine, Cadual registrantIAPD 4269266

Feed of 09/14/2026

Also filed as M•••• Lynn M•••••

At current firm

2 y

since Aug 7, 2024

In the industry

20 y

since Dec 15, 2005 (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

M••••• S•••••• wirehouse current
since Aug 7, 2024 · Irvine, Ca
S•••••• N••••••• • C••••••• I••••••••• national BD
May 5, 2021 to Oct 24, 2023 · Irvine, Ca
W•••• F•••• A••••••• wirehouse
Sep 6, 2018 to May 13, 2021 · Long Beach, Ca
J••• M••••• S••••••••• L•• wirehouse
Apr 20, 2017 to Sep 7, 2018 · Newport Beach, Ca
R•• C•••••• M••••••• L•• national BD
Nov 20, 2015 to Jan 24, 2017 · Newport Beach, Ca
U•• F•••••••• S••••••• I••• wirehouse
Jan 13, 2012 to Nov 24, 2015 · San Diego, Ca
W•••• F•••• A••••••• wirehouse
Mar 2, 2010 to Jan 9, 2012 · Newport Beach, Ca
U•• F•••••••• S••••••• I••• wirehouse
Dec 16, 2005 to Mar 3, 2010 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••
left Oct 24, 2023, registered Aug 7, 2024 (288 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left May 13, 2021, registered May 5, 2021 (-8 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Sep 7, 2018, registered Sep 6, 2018 (-1 days) · Wirehouse to wirehouse
R•• C•••••• M••••••• L•• to J••• M••••• S••••••••• L••
left Jan 24, 2017, registered Apr 20, 2017 (86 days) · Affiliated broker-dealer or bank to wirehouse
U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••
left Nov 24, 2015, registered Nov 20, 2015 (-4 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Jan 9, 2012, registered Jan 13, 2012 (4 days) · Wirehouse to wirehouse
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Mar 3, 2010, registered Mar 2, 2010 (-1 days) · Wirehouse to wirehouse

Signals

M•••• L• M••••• left S•••••• N••••••• • C••••••• I••••••••• for M••••• S•••••• (registered 2024-08-07)
Oct 24, 2023 · 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address