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•••• A••• B•••••

C••••• I••••••••• A••••••• L••BD affiliatedOlean, Ny dual registrantIAPD 5596824

Feed of 09/14/2026

Also filed as L•••• A B•••••

At current firm

0 y

since Dec 11, 2025

In the industry

17 y

since Jan 26, 2009 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Dec 11, 2025 · Olean, Ny
L•••••• P••• C•••••• L•• independent RIA
Jul 1, 2024 to Dec 17, 2025 · Olean, Ny
O•••• F•• I••• former
Feb 5, 2015 to Jul 1, 2024 · Olean, Ny
I••••• F•••••••• C••••••••• former
Jan 25, 2011 to Dec 1, 2014 · Olean, Ny

Moves

a registration end followed by a registration begin elsewhere

L•••••• P••• C•••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 17, 2025, registered Dec 11, 2025 (-6 days) · RIA to affiliated broker-dealer or bank
O•••• F•• I••• to L•••••• P••• C•••••• L••
left Jul 1, 2024, registered Jul 1, 2024 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser
I••••• F•••••••• C••••••••• to O•••• F•• I•••
left Dec 1, 2014, registered Feb 5, 2015 (66 days) · Other

Signals

L•••• A••• B••••• left L•••••• P••• C•••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2025-12-11)
Dec 17, 2025 · Advisor changed firm · fact
L•••• A••• B••••• left O•••• F•• I••• for L•••••• P••• C•••••• L•• (registered 2024-07-01)
Jul 1, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address