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

C••• W•••••• L•••••

L••• S••••••• P•••••••state registeredTucson, AzIA-onlyIAPD 6107777

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••• W•••••• L•••••

At current firm

2 y

since Sep 3, 2024

In the industry

13 y

since Jan 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L••• S••••••• P••••••• state registered current
since Sep 3, 2024 · Tucson, Az
L•• F•••••••• L•• BD affiliated
Jun 16, 2023 to Feb 21, 2024 · Tucson, Az
L••• S••••••• P••••••• unclassified
Jun 23, 2020 to Mar 9, 2022 · Tucson, Az
T•• W••••• A•••••••• I••• independent RIA
Jul 6, 2018 to Oct 11, 2019 · Tucson, Az
C••• W••••• A••••••• former
Jul 25, 2017 to Apr 23, 2018 · Walnut Creek, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to L••• S••••••• P•••••••
left Feb 21, 2024, registered Sep 3, 2024 (195 days) · Affiliated broker-dealer or bank to a state-registered adviser
L••• S••••••• P••••••• to L•• F•••••••• L••
left Mar 9, 2022, registered Jun 16, 2023 (464 days) · Other
T•• W••••• A•••••••• I••• to L••• S••••••• P•••••••
left Oct 11, 2019, registered Jun 23, 2020 (256 days) · Other
C••• W••••• A••••••• to T•• W••••• A•••••••• I•••
left Apr 23, 2018, registered Jul 6, 2018 (74 days) · RIA to RIA

Signals

C••• W•••••• L••••• left L•• F•••••••• L•• for L••• S••••••• P••••••• (registered 2024-09-03)
Feb 21, 2024 · Advisor changed firm · fact
C••• W•••••• L••••• left L••• S••••••• P••••••• for L•• F•••••••• L•• (registered 2023-06-16)
Mar 9, 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: STATE REGISTEREDderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address