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

L•••• A•• C•••••

L••••• R••••••••• A•••••••institutionalBuffalo, Ny dual registrantIAPD 4867748

Feed of 09/15/2026

Also filed as L•••• A Kelm

At current firm

5 y

since Jul 28, 2021

In the industry

21 y

since Jan 24, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Aug 4, 2025 · San Diego, Ca
L••••• R••••••••• A••••••• institutional current
since Jul 28, 2021 · Buffalo, Ny
O•••• W•••••• I••• BD affiliated
May 5, 2022 to Aug 12, 2025 · Buffalo, Ny
C•••••• G•••• • C• I•• former
Mar 27, 2017 to May 10, 2022 · Buffalo, Ny
C••••• A••••••• L•• former
Dec 16, 2011 to Nov 20, 2015 · Rutland, Vt
H• B•••• I••• former
Jul 7, 2009 to Nov 18, 2011 · Rutland, Vt

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Aug 12, 2025, registered Aug 4, 2025 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••• G•••• • C• I•• to L••••• R••••••••• A•••••••
left May 10, 2022, registered Jul 28, 2021 (-286 days) · Other · moved with a team
C••••• A••••••• L•• to C•••••• G•••• • C• I••
left Nov 20, 2015, registered Mar 27, 2017 (493 days) · Other
H• B•••• I••• to C••••• A••••••• L••
left Nov 18, 2011, registered Dec 16, 2011 (28 days) · Other

Signals

L•••• A•• C••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-08-04)
Aug 12, 2025 · Advisor changed firm · fact
L•••• A•• C••••• left C•••••• G•••• • C• I•• for L••••• R••••••••• A••••••• (registered 2021-07-28)
May 10, 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: Institutional managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address