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•••••• L•• B••••••

L•• F•••••••• L••BD affiliatedDanville, Ca dual registrantIAPD 5118387

Feed of 09/16/2026

Also filed as R•••••• B••••••

At current firm

0 y

since Oct 17, 2025

In the industry

20 y

since May 8, 2006 (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 Oct 17, 2025 · Danville, Ca
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Oct 19, 2025 · San Ramon, Ca
T• A••••••••• I••• former
Jun 13, 2019 to Oct 14, 2022 · Walnut Creek, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 13, 2019 to Sep 7, 2023 · Walnut Creek, Ca
C•••••• S••••• • C••• I••• national BD
Apr 23, 2018 to Jun 14, 2019 · Santa Rosa, Ca
S•••••••• A••••••• L•• national BD
Jan 20, 2012 to Apr 11, 2018 · Walnut Creek, Ca
C•••• I••••••••• S••••••• C•••• former
Nov 3, 2009 to Nov 11, 2011 · Walnut Creek, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 14, 2007 to Dec 22, 2008 · Oakland, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Sep 18, 2006 to Jan 11, 2007 · Pleasanton, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left Oct 19, 2025, registered Oct 17, 2025 (-2 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jun 13, 2019 (-1219 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Jun 14, 2019, registered Jun 13, 2019 (-1 days) · Other
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Apr 11, 2018, registered Apr 23, 2018 (12 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to S•••••••• A••••••• L••
left Nov 11, 2011, registered Jan 20, 2012 (70 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Dec 22, 2008, registered Nov 3, 2009 (316 days) · Other
M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 11, 2007, registered Feb 14, 2007 (34 days) · Other

Signals

R•••••• L•• B•••••• left C•••••• S••••• • C••• I••• for L•• F•••••••• L•• (registered 2025-10-17)
Oct 19, 2025 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address