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

D•• Y••• L••••

C•••••• A•••••••BD affiliatedFort Washington, Pa dual registrantIAPD 4710615

Feed of 09/15/2026

Also filed as Dov L••••

At current firm

2 y

since Feb 8, 2024

In the industry

22 y

since Jan 9, 2004 (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•••••• A••••••• BD affiliated current
since Feb 9, 2024 · Land O Lakes, Fl
L•••••• I••••••••• independent RIA current
since Feb 8, 2024 · Fort Washington, Pa
N••••••••• F•••••••• G••••• L•• independent RIA
Oct 2, 2020 to Jan 3, 2024 · Tampa, Fl
L•• F•••••••• L•• BD affiliated
Jul 3, 2017 to Oct 28, 2022 · Palm Harbor, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Jul 7, 2017 · Clearwater, Fl
A••••••••• A•••••• S•••••••• I••• unclassified
Jul 23, 2009 to Oct 5, 2009 · Clearwater, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 6, 2004 to Jul 23, 2009 · Clearwater, Fl

Moves

a registration end followed by a registration begin elsewhere

N••••••••• F•••••••• G••••• L•• to L•••••• I•••••••••
left Jan 3, 2024, registered Feb 8, 2024 (36 days) · RIA to RIA
L•• F•••••••• L•• to N••••••••• F•••••••• G••••• L••
left Oct 28, 2022, registered Oct 2, 2020 (-756 days) · Other
A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Jul 7, 2017, registered Jul 3, 2017 (-4 days) · Other
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• A•••••• S•••••••• I•••
left Jul 23, 2009, registered Jul 23, 2009 (0 days) · Other

Signals

D•• Y••• L•••• left N••••••••• F•••••••• G••••• L•• for L•••••• I••••••••• (registered 2024-02-08)
Jan 3, 2024 · a•••••• firm change · fact
D•• Y••• L•••• left L•• F•••••••• L•• for N••••••••• F•••••••• G••••• L•• (registered 2020-10-02)
Oct 28, 2022 · a•••••• firm change · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address