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•••• E••••• B••••••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 4389633

Feed of 09/14/2026

At current firm

1 y

since Aug 18, 2025

In the industry

23 y

since Dec 2, 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

L•• F•••••••• L•• BD affiliated current
since Aug 18, 2025 · San Diego, Ca
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Aug 20, 2025 · Charlotte, Nc
S••••••••• A•••••• A•••••••• I••• former
Sep 16, 2013 to Jun 14, 2024 · Charlotte, Nc
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Sep 6, 2012 to Oct 11, 2013 · Charlotte, Nc
N•• E•••••• S••••••••• C••••••••• former
Jan 9, 2008 to Sep 10, 2012 · Elmsford, Ny
E•••••••• A•••••••• L•• national BD
Apr 8, 2003 to Feb 5, 2007 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Aug 20, 2025, registered Aug 18, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Oct 11, 2013, registered Sep 16, 2013 (-25 days) · Other
N•• E•••••• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Sep 10, 2012, registered Sep 6, 2012 (-4 days) · Other
E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••
left Feb 5, 2007, registered Jan 9, 2008 (338 days) · Other

Signals

L•••• E••••• B•••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-08-18)
Aug 20, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address