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.

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Registered advisor

I•••• L•

C•••••• S••••• • C••• I•••national BDBethesda, Mddual registrantIAPD 4557972

Feed of 09/14/2026

Also filed as Ian Li

At current firm

2 y

since May 30, 2024

In the industry

23 y

since Oct 16, 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

C•••••• S••••• • C••• I••• national BD current
since May 30, 2024 · Bethesda, Md
J••• M••••• S••••••••• L•• wirehouse
Sep 6, 2023 to May 26, 2024 · Washington, Dc
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 4, 2020 to Aug 8, 2023 · Fredericksburg, Va
P•• W••••• M••••••••• BD affiliated
Jul 1, 2016 to Dec 6, 2018 · Bethesda, Md
M••••• S•••••• wirehouse
Oct 19, 2010 to Jun 30, 2016 · Bethesda, Md
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Oct 8, 2010 · Rockville, Md
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 3, 2008 to Oct 23, 2009 · Rockville, Md
N••• F•••••• A•••• M••••••••• L•• former
Nov 29, 2007 to Feb 12, 2008 · Vienna, Va
W•••• F•••• A••••••• wirehouse
Nov 9, 2004 to May 18, 2006 · Washington, Dc
E•••••••• A•••••••• L•• national BD
Mar 1, 2004 to May 13, 2004 · Falls Church, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 21, 2002 to Aug 11, 2003 · Annapolis, Md

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••
left May 26, 2024, registered May 30, 2024 (4 days) · Wirehouse to affiliated broker-dealer or bank
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••• M••••• S••••••••• L••
left Aug 8, 2023, registered Sep 6, 2023 (29 days) · Affiliated broker-dealer or bank to wirehouse
P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 6, 2018, registered Aug 4, 2020 (607 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to P•• W••••• M•••••••••
left Jun 30, 2016, registered Jul 1, 2016 (1 days) · Other · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Oct 8, 2010, registered Oct 19, 2010 (11 days) · Wirehouse to wirehouse
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
N••• F•••••• A•••• M••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Feb 12, 2008, registered Mar 3, 2008 (20 days) · Other
W•••• F•••• A••••••• to N••• F•••••• A•••• M••••••••• L••
left May 18, 2006, registered Nov 29, 2007 (560 days) · Other
E•••••••• A•••••••• L•• to W•••• F•••• A•••••••
left May 13, 2004, registered Nov 9, 2004 (180 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••
left Aug 11, 2003, registered Mar 1, 2004 (203 days) · Affiliated broker-dealer or bank to another

Signals

I•••• L• left J••• M••••• S••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2024-05-30)
May 26, 2024 · Advisor changed firm · fact
I•••• L• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for J••• M••••• S••••••••• L•• (registered 2023-09-06)
Aug 8, 2023 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address