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

C••• L••••

N•••••• A•••••••BD affiliatedCarlsbad, Ca IA-onlyIAPD 4846641

Feed of 09/15/2026

Also filed as C••• Ann L••••

At current firm

0 y

since Jan 21, 2026

In the industry

21 y

since Mar 15, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••• A••••••• BD affiliated current
since Jan 21, 2026 · Scottsdale, Az
R•••••• I••••••••• state registered
Jul 3, 2023 to Jul 3, 2024 · Carlsbad, Ca
B••••••• J•••• L•• independent RIA
Nov 16, 2022 to Apr 19, 2023 · Seattle, Wa
S•••••••• L•• independent RIA
Apr 13, 2022 to Apr 13, 2022 · Foster City, Ca
I••••••••• D••••• A•••••••• L•• independent RIA
Aug 11, 2020 to Aug 13, 2020 · Carlsbad, Ca
F••••• I••••••••• independent RIA
Aug 22, 2007 to Jul 17, 2008 · Vancouver, Wa
O•••• F•• I••• former
Jun 28, 2006 to Jul 23, 2007 · Portland, Or
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 16, 2005 to Feb 8, 2006 · Portland, Or

Moves

a registration end followed by a registration begin elsewhere

R•••••• I••••••••• to N•••••• A•••••••
left Jul 3, 2024, registered Jan 21, 2026 (567 days) · Other
B••••••• J•••• L•• to R•••••• I•••••••••
left Apr 19, 2023, registered Jul 3, 2023 (75 days) · RIA to a state-registered adviser
S•••••••• L•• to B••••••• J•••• L••
left Apr 13, 2022, registered Nov 16, 2022 (217 days) · RIA to RIA
I••••••••• D••••• A•••••••• L•• to S•••••••• L••
left Aug 13, 2020, registered Apr 13, 2022 (608 days) · RIA to RIA
F••••• I••••••••• to I••••••••• D••••• A•••••••• L••
left Jul 17, 2008, registered Aug 11, 2020 (4408 days) · Other
O•••• F•• I••• to F••••• I•••••••••
left Jul 23, 2007, registered Aug 22, 2007 (30 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to O•••• F•• I•••
left Feb 8, 2006, registered Jun 28, 2006 (140 days) · Other

Signals

C••• L•••• left R•••••• I••••••••• for N•••••• A••••••• (registered 2026-01-21)
Jul 3, 2024 · Advisor changed firm · fact
C••• L•••• left B••••••• J•••• L•• for R•••••• I••••••••• (registered 2023-07-03)
Apr 19, 2023 · Advisor changed firm · fact
C••• L•••• left S•••••••• L•• for B••••••• J•••• L•• (registered 2022-11-16)
Apr 13, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address