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.
Registered advisor
David Lau
Feed of 09/15/2026
Also filed as David Lau
At current firm
3 y
since Apr 28, 2023
In the industry
23 y
since Oct 9, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Consolidated Portfolio Review Corp independent RIA currentsince Apr 28, 2023 · Santa Rosa, Ca
- Gladstone Wealth Partners BD affiliatedApr 14, 2021 to Apr 17, 2023 · Santa Rosa, Ca
- Morgan Stanley wirehouseJun 1, 2009 to Apr 1, 2021 · Santa Rosa, Ca
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Jun 1, 2009 · Santa Rosa, Ca
- Morgan Stanley Dw Inc. unclassifiedFeb 13, 2003 to Apr 2, 2007 · Santa Rosa, Ca
Moves
a registration end followed by a registration begin elsewhere
- Gladstone Wealth Partners to Consolidated Portfolio Review Corpleft Apr 17, 2023, registered Apr 28, 2023 (11 days) · Affiliated broker-dealer or bank to independent RIA
- Morgan Stanley to Gladstone Wealth Partnersleft Apr 1, 2021, registered Apr 14, 2021 (13 days) · Wirehouse to independent RIA
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- David Lau left Gladstone Wealth Partners for Consolidated Portfolio Review Corp (registered 2023-04-28)Apr 17, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address