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

M••• A• L•••

L•• F•••••••• L••BD affiliatedPeru, In dual registrantIAPD 4914396

Feed of 09/15/2026

Also filed as M••• L•••

At current firm

2 y

since Jul 11, 2024

In the industry

21 y

since Apr 22, 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 Jul 11, 2024 · South Bend, In
P•• W••••• M••••••••• BD affiliated
Feb 22, 2024 to Jul 2, 2024 · Warsaw, In
E••••• J•••• national BD
Jan 5, 2024 to Feb 20, 2024 · South Bend, In
O•••• I••••••••• I••• BD affiliated
Aug 27, 2020 to Jan 2, 2024 · La Porte, In
C••• B•••••••• S•••••••• I••• former
Oct 31, 2019 to Aug 26, 2020 · Mishawaka, In
J••• M••••• S••••••••• L•• wirehouse
Jun 13, 2018 to Oct 10, 2019 · Elkhart, In
L•• F•••••••• L•• BD affiliated
Jul 5, 2011 to Jul 16, 2018 · Goshen, In
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jul 10, 2006 to Jul 5, 2011 · Elkhart, In
A• G• E•••••• • S•••• I••• unclassified
Apr 25, 2005 to Jul 7, 2006 · Mishawaka, In

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to L•• F•••••••• L••
left Jul 2, 2024, registered Jul 11, 2024 (9 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to P•• W••••• M•••••••••
left Feb 20, 2024, registered Feb 22, 2024 (2 days) · Affiliated broker-dealer or bank to another
O•••• I••••••••• I••• to E••••• J••••
left Jan 2, 2024, registered Jan 5, 2024 (3 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to O•••• I••••••••• I•••
left Aug 26, 2020, registered Aug 27, 2020 (1 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••
left Oct 10, 2019, registered Oct 31, 2019 (21 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to J••• M••••• S••••••••• L••
left Jul 16, 2018, registered Jun 13, 2018 (-33 days) · RIA to wirehouse
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
A• G• E•••••• • S•••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Jul 7, 2006, registered Jul 10, 2006 (3 days) · Other

Signals

M••• A• L••• left P•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-07-11)
Jul 2, 2024 · Advisor changed firm · fact
M••• A• L••• left E••••• J•••• for P•• W••••• M••••••••• (registered 2024-02-22)
Feb 20, 2024 · Advisor changed firm · fact
M••• A• L••• left O•••• I••••••••• I••• for E••••• J•••• (registered 2024-01-05)
Jan 2, 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