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••••• M••••••• P••••••

E•••• S••••••••• L••BD affiliatedOceanside, Ca dual registrantIAPD 4455842

Feed of 09/15/2026

Also filed as L••••• M••••••• Smith

At current firm

1 y

since Jan 1, 2025

In the industry

24 y

since Mar 5, 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•••• S••••••••• L•• BD affiliated current
since Jan 1, 2025 · White Plains, Ny
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Sep 4, 2012 to Apr 9, 2013 · San Ramon, Ca
Q•••••• A•••• M••••••••• I••• former
Dec 9, 2011 to Jun 14, 2012 · Minneapolis, Mn
W••••••• F•••••••• S•••••••• I••• former
Dec 12, 2006 to Nov 8, 2011 · San Jose, Ca
T•••• S••••• S••••••••• I••• former
Jun 3, 2004 to Aug 11, 2005 · San Jose, Ca
W• G••••••• S••••••••• I••• unclassified
Mar 19, 2003 to Jun 14, 2004 · Morgan Hill, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to E•••• S••••••••• L••
left Apr 9, 2013, registered Jan 1, 2025 (4285 days) · Other
Q•••••• A•••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 14, 2012, registered Sep 4, 2012 (82 days) · Other
W••••••• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Nov 8, 2011, registered Dec 9, 2011 (31 days) · Other
T•••• S••••• S••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Aug 11, 2005, registered Dec 12, 2006 (488 days) · Other
W• G••••••• S••••••••• I••• to T•••• S••••• S••••••••• I•••
left Jun 14, 2004, registered Jun 3, 2004 (-11 days) · Other

Signals

No dated event on this person.

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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address