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•••• C•••

V••••••• W••••• M••••••••• L••state registeredCupertino, CaIA-onlyIAPD 5494291

Certified Financial Planner

Feed of 09/14/2026

Also filed as L•••• C•••

At current firm

0 y

since Sep 3, 2026

In the industry

18 y

since May 15, 2008 (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

V••••••• W••••• M••••••••• L•• state registered current
since Sep 3, 2026 · Cupertino, Ca
C•••••• A•••••••• L•• independent RIA
Jan 17, 2020 to Aug 26, 2026 · Cypress, Tx
S••••• P•••••• P•••••• W•••••• L•• independent RIA
Sep 19, 2018 to Feb 28, 2020 · Mountain View, Ca
W•••• F•••• A••••••• wirehouse
Jun 18, 2013 to Sep 7, 2018 · Palo Alto, Ca
H••• S••••••••• •••• I••• BD affiliated
Jan 28, 2010 to Jun 26, 2013 · Mountain View, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 16, 2008 to Feb 11, 2009 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• A•••••••• L•• to V••••••• W••••• M••••••••• L••
left Aug 26, 2026, registered Sep 3, 2026 (8 days) · RIA to a state-registered adviser
S••••• P•••••• P•••••• W•••••• L•• to C•••••• A•••••••• L••
left Feb 28, 2020, registered Jan 17, 2020 (-42 days) · RIA to RIA
W•••• F•••• A••••••• to S••••• P•••••• P•••••• W•••••• L••
left Sep 7, 2018, registered Sep 19, 2018 (12 days) · Wirehouse to independent RIA
H••• S••••••••• •••• I••• to W•••• F•••• A•••••••
left Jun 26, 2013, registered Jun 18, 2013 (-8 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••
left Feb 11, 2009, registered Jan 28, 2010 (351 days) · Other

Signals

L•••• C••• left C•••••• A•••••••• L•• for V••••••• W••••• M••••••••• L•• (registered 2026-09-03)
Aug 26, 2026 · advisor firm c•••ge · 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: STATE REGISTEREDderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address