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

D••••• L••••••

M••••• L•••••• W•••••state registeredHonolulu, HiIA-onlyIAPD 6385412

Certified Financial Planner

Feed of 09/14/2026

Also filed as Daniel M••••• L••••••

At current firm

2 y

since Sep 19, 2024

In the industry

12 y

since Aug 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• L•••••• W••••• state registered current
since Sep 19, 2024 · Honolulu, Hi
C•••••• S••••• • C••• I••• national BD
Aug 31, 2023 to Dec 12, 2023 · Honolulu, Hi
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 18, 2018 to Nov 23, 2022 · Scottsdale, Az
V••••••• A•••••••• I••• BD affiliated
Dec 13, 2016 to Dec 18, 2018 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M••••• L•••••• W•••••
left Dec 12, 2023, registered Sep 19, 2024 (282 days) · Affiliated broker-dealer or bank to a state-registered adviser
F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Nov 23, 2022, registered Aug 31, 2023 (281 days) · Affiliated broker-dealer or bank to another
V••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 18, 2018, registered Dec 18, 2018 (0 days) · Affiliated broker-dealer or bank to another

Signals

D••••• L•••••• left C•••••• S••••• • C••• I••• for M••••• L•••••• W••••• (registered 2024-09-19)
Dec 12, 2023 · Advisor changed firm · fact
D••••• L•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2023-08-31)
Nov 23, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address