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••• B••••• W••••••

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••independent RIAScottsdale, Az dual registrantIAPD 4403104

Feed of 09/14/2026

Also filed as Leah Ellyn Brooks

At current firm

0 y

since Aug 11, 2026

In the industry

25 y

since Jul 2, 2001 (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

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA current
since Aug 11, 2026 · Scottsdale, Az
L•• E••••••••• L•• BD affiliated
Sep 26, 2024 to Aug 5, 2026 · Valrico, Fl
L•• F•••••••• L•• BD affiliated
Jun 3, 2022 to Oct 11, 2024 · Valrico, Fl
R•••••• J•••• • A••••••••• I••• national BD
Jul 21, 2017 to May 31, 2022 · Powder Springs, Ga
L•• F•••••••• L•• BD affiliated
Aug 5, 2014 to Jul 17, 2017 · Powder Springs, Ga
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 29, 2009 to Jul 9, 2014 · Fairfield, Ia
F•• S••••••••• C••••••••• former
Jul 20, 2007 to Apr 15, 2009 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Aug 5, 2026, registered Aug 11, 2026 (6 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to L•• E••••••••• L••
left Oct 11, 2024, registered Sep 26, 2024 (-15 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••
left May 31, 2022, registered Jun 3, 2022 (3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
L•• F•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Jul 17, 2017, registered Jul 21, 2017 (4 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
left Jul 9, 2014, registered Aug 5, 2014 (27 days) · Other
F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 15, 2009, registered Oct 29, 2009 (197 days) · Other

Signals

L••• B••••• W•••••• left L•• E••••••••• L•• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2026-08-11)
Aug 5, 2026 · Advisor changed firm · fact
L••• B••••• W•••••• left L•• F•••••••• L•• for L•• E••••••••• L•• (registered 2024-09-26)
Oct 11, 2024 · Advisor changed firm · fact
L••• B••••• W•••••• left R•••••• J•••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2022-06-03)
May 31, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address