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

A•••••• L••••• M••••••••

C•••••• S••••• • C••• I•••national BDLone Tree, Codual registrantIAPD 4581638

Feed of 09/14/2026

Also filed as A•••••• M••••••••

At current firm

1 y

since Apr 15, 2025

In the industry

23 y

since Oct 24, 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 Apr 15, 2025 · Lone Tree, Co
M••••• G••••• A••••••• I••• independent RIA
Dec 11, 2023 to Jul 11, 2024 · Denver, Co
E•••••• C•••••• M••••••••• L•• former
Jul 15, 2020 to Aug 14, 2023 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
May 2, 2019 to Jul 9, 2020 · Manhattan Beach, Ca
E•••••• F•••••••• E•••••• independent RIA
May 4, 2017 to May 2, 2019 · Los Angeles, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 14, 2009 to May 9, 2017 · Beverly Hills, Ca
T• A••••••••• I••• former
Jan 14, 2009 to May 9, 2017 · Beverly Hills, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 25, 2002 to Jan 6, 2009 · Long Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• G••••• A••••••• I••• to C•••••• S••••• • C••• I•••
left Jul 11, 2024, registered Apr 15, 2025 (278 days) · RIA to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• G••••• A••••••• I•••
left Aug 14, 2023, registered Dec 11, 2023 (119 days) · RIA to RIA
J••• M••••• S••••••••• L•• to E•••••• C•••••• M••••••••• L••
left Jul 9, 2020, registered Jul 15, 2020 (6 days) · Wirehouse to independent RIA
E•••••• F•••••••• E•••••• to J••• M••••• S••••••••• L••
left May 2, 2019, registered May 2, 2019 (0 days) · RIA to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left May 9, 2017, registered Jan 14, 2009 (-3037 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 9, 2017, registered Jan 14, 2009 (-3037 days) · Other
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••
left Jan 6, 2009, registered Jan 14, 2009 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

A•••••• L••••• M•••••••• left M••••• G••••• A••••••• I••• for C•••••• S••••• • C••• I••• (registered 2025-04-15)
Jul 11, 2024 · Advisor changed firm · fact
A•••••• L••••• M•••••••• left E•••••• C•••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-12-11)
Aug 14, 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