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

R•••• L•••••

A••••••••• F•••••••• S•••••••• L••national BDSouth Miami, Fl dual registrantIAPD 6741033

Chartered Financial Analyst

Feed of 09/15/2026

Also filed as Ralf L•••••

At current firm

2 y

since Aug 12, 2024

In the industry

11 y

since Jan 1, 2015 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Aug 12, 2024 · South Miami, Fl
J••• M••••• S••••••••• L•• wirehouse
Jul 23, 2024 to Jul 30, 2024 · Miami, Fl
S•••••••• S••••••••• BD affiliated
Feb 28, 2023 to Jul 22, 2024 · Miami, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
May 11, 2017 to Feb 24, 2023 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jul 30, 2024, registered Aug 12, 2024 (13 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
S•••••••• S••••••••• to J••• M••••• S••••••••• L••
left Jul 22, 2024, registered Jul 23, 2024 (1 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• F•••••••• S•••••••• L•• to S•••••••• S•••••••••
left Feb 24, 2023, registered Feb 28, 2023 (4 days) · Affiliated broker-dealer or bank to another

Signals

R•••• L••••• left J••• M••••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-08-12)
Jul 30, 2024 · Advisor changed firm · fact
R•••• L••••• left S•••••••• S••••••••• for J••• M••••• S••••••••• L•• (registered 2024-07-23)
Jul 22, 2024 · Advisor changed firm · fact
R•••• L••••• left A••••••••• F•••••••• S•••••••• L•• for S•••••••• S••••••••• (registered 2023-02-28)
Feb 24, 2023 · 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: National broker-dealer RIAderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address