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•••• L•••••

T• P•••••• C••••• W••••• L••BD affiliatedPortland, Me dual registrantIAPD 6696726

Feed of 09/15/2026

Also filed as Luke L•••••

At current firm

3 y

since Jun 13, 2023

In the industry

14 y

since Feb 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T• P•••••• C••••• W••••• L•• BD affiliated current
since Jun 13, 2023 · Tampa, Fl
L•• F•••••••• L•• BD affiliated
Dec 21, 2022 to Jun 14, 2023 · Tampa, Fl
F•••••• F•••••••• A•••••••• L•• BD affiliated
Dec 14, 2021 to May 4, 2022 · Tampa, Fl
F••••• I••••••••• independent RIA
Jul 17, 2019 to Jul 20, 2021 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 13, 2018 to Jul 16, 2019 · Chandler, Az

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to T• P•••••• C••••• W••••• L••
left Jun 14, 2023, registered Jun 13, 2023 (-1 days) · Affiliated broker-dealer or bank to another
F•••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••
left May 4, 2022, registered Dec 21, 2022 (231 days) · Affiliated broker-dealer or bank to independent RIA
F••••• I••••••••• to F•••••• F•••••••• A•••••••• L••
left Jul 20, 2021, registered Dec 14, 2021 (147 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Jul 16, 2019, registered Jul 17, 2019 (1 days) · Wirehouse to independent RIA

Signals

L•••• L••••• left L•• F•••••••• L•• for T• P•••••• C••••• W••••• L•• (registered 2023-06-13)
Jun 14, 2023 · Advisor changed firm · fact
L•••• L••••• left F•••••• F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2022-12-21)
May 4, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address