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

F••••• E• L••••

S•••••••• A••••••• L••national BDSan Francisco, Cadual registrantIAPD 4366120

Feed of 09/14/2026

Also filed as F•••••Do L••••

At current firm

1 y

since Mar 31, 2025

In the industry

24 y

since Jan 1, 2002 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · San Francisco, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 4, 2024 to Mar 31, 2025 · San Francisco, Ca
S••••• I••••••••• M••••••••• L•• independent RIA
Aug 24, 2023 to Sep 13, 2024 · Tucson, Az
E•••••••• A•••••••• L•• national BD
Dec 7, 2022 to Jul 18, 2023 · San Francisco, Ca
S• B••••••• unclassified
Feb 16, 2017 to Jul 13, 2022 · San Francisco, Ca
E•• F•••••••• A••••••• independent RIA
Sep 13, 2004 to Nov 2, 2005 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 13, 2024, registered Dec 4, 2024 (82 days) · RIA to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to S••••• I••••••••• M••••••••• L••
left Jul 18, 2023, registered Aug 24, 2023 (37 days) · Affiliated broker-dealer or bank to independent RIA
S• B••••••• to E•••••••• A•••••••• L••
left Jul 13, 2022, registered Dec 7, 2022 (147 days) · Other
E•• F•••••••• A••••••• to S• B•••••••
left Nov 2, 2005, registered Feb 16, 2017 (4124 days) · Other

Signals

F••••• E• L•••• left S••••• I••••••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-12-04)
Sep 13, 2024 · Advisor changed firm · fact
F••••• E• L•••• left E•••••••• A•••••••• L•• for S••••• I••••••••• M••••••••• L•• (registered 2023-08-24)
Jul 18, 2023 · Advisor changed firm · fact
F••••• E• L•••• left S• B••••••• for E•••••••• A•••••••• L•• (registered 2022-12-07)
Jul 13, 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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address