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

R••••••• T••••••• L••••••

L•• F•••••••• L••BD affiliatedSan Francisco, Cadual registrantIAPD 4911626

Feed of 09/14/2026

Also filed as R••••••• L••••••

At current firm

1 y

since Dec 11, 2024

In the industry

21 y

since Aug 16, 2005 (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

L•• F•••••••• L•• BD affiliated current
since Dec 11, 2024 · San Francisco, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 19, 2012 to Oct 21, 2024 · San Francisco, Ca
E•••••• C•••••• M••••••••• L•• former
May 10, 2011 to Dec 19, 2012 · Arlington, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 17, 2005 to Jan 26, 2011 · Mill Valley, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••
left Oct 21, 2024, registered Dec 11, 2024 (51 days) · Affiliated broker-dealer or bank to another · moved with a team
E•••••• C•••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••
left Dec 19, 2012, registered Dec 19, 2012 (0 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••
left Jan 26, 2011, registered May 10, 2011 (104 days) · Other

Signals

R••••••• T••••••• L•••••• left C•••••••• G••••• M•••••• I••• for L•• F•••••••• L•• (registered 2024-12-11)
Oct 21, 2024 · 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