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••• T••••• M••••

S•••••• W••••• P•••••••• L••BD affiliatedRedwood City, Ca dual registrantIAPD 6575925

Certified Financial Planner

Feed of 09/15/2026

Also filed as L••• M••••

At current firm

0 y

since Mar 16, 2026

In the industry

13 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• W••••• P•••••••• L•• BD affiliated current
since Mar 16, 2026 · Ladera Ranch, Ca
O•••• W•••••• I••• BD affiliated
Nov 12, 2025 to Feb 13, 2026 · Gahanna, Oh
K•• W••••• M••••••••• L•• independent RIA
Nov 9, 2022 to Apr 30, 2024 · Ladera Ranch, Ca
P••••••• C•••••• A••••••• C••••••••• former
Oct 17, 2022 to Oct 31, 2022 · Greenwood Village, Co
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 26, 2020 to Jan 25, 2022 · Gahanna, Oh

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to S•••••• W••••• P•••••••• L••
left Feb 13, 2026, registered Mar 16, 2026 (31 days) · Affiliated broker-dealer or bank to another
K•• W••••• M••••••••• L•• to O•••• W•••••• I•••
left Apr 30, 2024, registered Nov 12, 2025 (561 days) · RIA to affiliated broker-dealer or bank
P••••••• C•••••• A••••••• C••••••••• to K•• W••••• M••••••••• L••
left Oct 31, 2022, registered Nov 9, 2022 (9 days) · RIA to RIA
C•••••••• I••••••••• R••••••• A•••••••• I••• to P••••••• C•••••• A••••••• C•••••••••
left Jan 25, 2022, registered Oct 17, 2022 (265 days) · Affiliated broker-dealer or bank to independent RIA

Signals

L••• T••••• M•••• left O•••• W•••••• I••• for S•••••• W••••• P•••••••• L•• (registered 2026-03-16)
Feb 13, 2026 · Advisor changed firm · fact
L••• T••••• M•••• left K•• W••••• M••••••••• L•• for O•••• W•••••• I••• (registered 2025-11-12)
Apr 30, 2024 · Advisor changed firm · fact
L••• T••••• M•••• left P••••••• C•••••• A••••••• C••••••••• for K•• W••••• M••••••••• L•• (registered 2022-11-09)
Oct 31, 2022 · Advisor changed firm · fact
L••• T••••• M•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for P••••••• C•••••• A••••••• C••••••••• (registered 2022-10-17)
Jan 25, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address