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.

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Registered advisor

L•••• C••• Q••••

T•••• W•••••state registeredWest Des Moines, IaIA-onlyIAPD 6618196

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

2 y

since Oct 4, 2023

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

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T•••• W••••• state registered current
since Oct 4, 2023 · West Des Moines, Ia
I•••••••• W••••• M••••••••• L•• state registered
May 15, 2019 to Mar 31, 2024 · Waukee, Ia
R•••• F••• M••••••••• L•• independent RIA
Sep 6, 2016 to May 20, 2019 · West Des Moines, Ia
H••••• I••••••••• M••••••••• L•• independent RIA
May 4, 2016 to Aug 18, 2016 · West Des Moines, Ia
R•••• F••• M••••••••• L•• independent RIA
Feb 26, 2016 to Apr 21, 2016 · West Des Moines, Ia

Moves

a registration end followed by a registration begin elsewhere

I•••••••• W••••• M••••••••• L•• to T•••• W•••••
left Mar 31, 2024, registered Oct 4, 2023 (-179 days) · Other
R•••• F••• M••••••••• L•• to I•••••••• W••••• M••••••••• L••
left May 20, 2019, registered May 15, 2019 (-5 days) · RIA to a state-registered adviser
H••••• I••••••••• M••••••••• L•• to R•••• F••• M••••••••• L••
left Aug 18, 2016, registered Sep 6, 2016 (19 days) · Other
R•••• F••• M••••••••• L•• to H••••• I••••••••• M••••••••• L••
left Apr 21, 2016, registered May 4, 2016 (13 days) · Other

Signals

L•••• C••• Q•••• left I•••••••• W••••• M••••••••• L•• for T•••• W••••• (registered 2023-10-04)
Mar 31, 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: STATE REGISTEREDderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address