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

R•••• L••• M•••••••

E•• F•••••••• A•••••••independent RIAIrvine, Ca dual registrantIAPD 4327781

Feed of 09/14/2026

Also filed as R•••• L M•••••••

At current firm

2 y

since Apr 22, 2024

In the industry

24 y

since Apr 1, 2002 (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

E•• F•••••••• A••••••• independent RIA current
since Apr 22, 2024 · Ashland, Or
P•••• S••••••••• L•• no RAUM
Jan 9, 2023 to Jan 11, 2024 · Ashland, Or
E•• F•••••••• A••••••• independent RIA
Jan 31, 2012 to Dec 15, 2022 · Montpelier, Vt
C••• B•••••••• S•••••••• I••• former
Jul 17, 2009 to Feb 1, 2012 · South Burlington, Vt
C••••••••• S••••••••• L••• unclassified
Dec 2, 2003 to Jun 24, 2009 · Essex Junction, Vt

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to E•• F•••••••• A•••••••
left Jan 11, 2024, registered Apr 22, 2024 (102 days) · Affiliated broker-dealer or bank to independent RIA
E•• F•••••••• A••••••• to P•••• S••••••••• L••
left Dec 15, 2022, registered Jan 9, 2023 (25 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to E•• F•••••••• A•••••••
left Feb 1, 2012, registered Jan 31, 2012 (-1 days) · Other
C••••••••• S••••••••• L••• to C••• B•••••••• S•••••••• I•••
left Jun 24, 2009, registered Jul 17, 2009 (23 days) · Other

Signals

R•••• L••• M••••••• left P•••• S••••••••• L•• for E•• F•••••••• A••••••• (registered 2024-04-22)
Jan 11, 2024 · Advisor changed firm · fact
R•••• L••• M••••••• left E•• F•••••••• A••••••• for P•••• S••••••••• L•• (registered 2023-01-09)
Dec 15, 2022 · 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address