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

P•••••• L••

M••••• G••••• A••••••• I•••independent RIADenver, Co IA-onlyIAPD 6608162

Certified Financial Planner

Feed of 09/14/2026

Also filed as P•••••• Galen Lee

At current firm

2 y

since Aug 8, 2024

In the industry

13 y

since Mar 1, 2013 (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

M••••• G••••• A••••••• I••• independent RIA current
since Aug 8, 2024 · Newport Beach, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 10, 2024 to Jul 15, 2024 · Irvine, Ca
M••••• S•••••• wirehouse
Sep 5, 2023 to May 28, 2024 · Irvine, Ca
E•••••• C•••••• M••••••••• L•• former
Jun 26, 2018 to Sep 5, 2023 · Costa Mesa, Ca
U••• B•••••• I••••••••• I••• former
Jun 17, 2016 to Jun 19, 2018 · Laguna Niguel, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• G••••• A••••••• I•••
left Jul 15, 2024, registered Aug 8, 2024 (24 days) · Wirehouse to independent RIA
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 28, 2024, registered Jun 10, 2024 (13 days) · Wirehouse to wirehouse
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
U••• B•••••• I••••••••• I••• to E•••••• C•••••• M••••••••• L••
left Jun 19, 2018, registered Jun 26, 2018 (7 days) · Affiliated broker-dealer or bank to independent RIA

Signals

P•••••• L•• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• G••••• A••••••• I••• (registered 2024-08-08)
Jul 15, 2024 · Advisor changed firm · fact
P•••••• L•• left M••••• S•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-06-10)
May 28, 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: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address