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••• M••••••• R••••••

A••••••• F••••••••• L•••BD affiliatedFolsom, Ca dual registrantIAPD 5344813

Feed of 09/15/2026

Also filed as Lisa Michelle King

At current firm

1 y

since May 30, 2025

In the industry

19 y

since May 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• F••••••••• L••• BD affiliated current
since May 30, 2025 · Indianapolis, In
S••••• B•••• I••••••••• A•••••••• L•• former
Jan 19, 2025 to Sep 12, 2025 · Indianapolis, In
J••• M••••• S••••••••• L•• wirehouse
Feb 16, 2024 to Dec 19, 2024 · Fishers, In
S••••• B•••• I••••••••• A•••••••• L•• former
Sep 15, 2017 to Feb 6, 2024 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

S••••• B•••• I••••••••• A•••••••• L•• to A••••••• F••••••••• L•••
left Sep 12, 2025, registered May 30, 2025 (-105 days) · RIA to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to S••••• B•••• I••••••••• A•••••••• L••
left Dec 19, 2024, registered Jan 19, 2025 (31 days) · Wirehouse to independent RIA
S••••• B•••• I••••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Feb 6, 2024, registered Feb 16, 2024 (10 days) · RIA to wirehouse

Signals

L••• M••••••• R•••••• left S••••• B•••• I••••••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2025-05-30)
Sep 12, 2025 · Advisor changed firm · fact
L••• M••••••• R•••••• left J••• M••••• S••••••••• L•• for S••••• B•••• I••••••••• A•••••••• L•• (registered 2025-01-19)
Dec 19, 2024 · Advisor changed firm · fact
L••• M••••••• R•••••• left S••••• B•••• I••••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-02-16)
Feb 6, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address