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.
Registered advisor
Lisa Marie Behun
Feed of 09/17/2026
Also filed as Lisa Marie Loritz
At current firm
0 y
since Sep 11, 2026
In the industry
19 y
since Sep 1, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- RBC Capital Markets, LLC national BD currentsince Sep 11, 2026 · Carlsbad, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Sep 11, 2026 · San Diego, Ca
- Banc Of America Investment Services, Inc. unclassifiedJan 18, 2008 to Oct 23, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to RBC Capital Markets, LLCleft Sep 11, 2026, registered Sep 11, 2026 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
- Lisa Marie Behun added a CA registration at Rbc Capital Markets, LlcSep 14, 2026 · New state registration · fact
- Lisa Marie Behun left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rbc Capital Markets, Llc (registered 2026-09-11)Sep 11, 2026 · Advisor changed firm · fact
- Lisa Marie Behun added a TX registration at Rbc Capital Markets, LlcSep 11, 2026 · New state registration · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address