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

M••••• L••••••

M••••••BD affiliatedOverland Park, Ks IA-onlyIAPD 5696133

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••••• Terese L••••••

At current firm

1 y

since May 19, 2025

In the industry

11 y

since Aug 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since May 19, 2025 · Overland Park, Ks
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 28, 2023 to May 9, 2025 · Hewlett, Ny
S•••••• R••• • C••• L•• independent RIA
Mar 31, 2022 to Nov 13, 2023 · New York, Ny
W•••• F•••• A••••••• wirehouse
Aug 20, 2018 to Jan 19, 2022 · Woodbury, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to M••••••
left May 9, 2025, registered May 19, 2025 (10 days) · Affiliated broker-dealer or bank to another
S•••••• R••• • C••• L•• to C•••••••• G••••• M•••••• I•••
left Nov 13, 2023, registered Jun 28, 2023 (-138 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to S•••••• R••• • C••• L••
left Jan 19, 2022, registered Mar 31, 2022 (71 days) · Wirehouse to independent RIA

Signals

M••••• L•••••• left C•••••••• G••••• M•••••• I••• for Mariner (registered 2025-05-19)
May 9, 2025 · Advisor changed firm · fact
M••••• L•••••• left S•••••• R••• • C••• L•• for C•••••••• G••••• M•••••• I••• (registered 2023-06-28)
Nov 13, 2023 · Advisor changed firm · fact
M••••• L•••••• left W•••• F•••• A••••••• for S•••••• R••• • C••• L•• (registered 2022-03-31)
Jan 19, 2022 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address