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•••• E••••• G••••

A••••••••• F•••••••• S•••••••• L••national BDKaty, Tx dual registrantIAPD 6867048

Feed of 09/14/2026

At current firm

1 y

since Jul 8, 2025

In the industry

13 y

since Aug 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, S63

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 Jul 8, 2025 · Katy, Tx
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Nov 8, 2023 to Jun 25, 2025 · Houston, Tx
P•••• C•••••• I••• unclassified
May 23, 2023 to Jul 31, 2023 · Lehi, Ut
E••••• I••••••••• L•• former
Sep 27, 2022 to Apr 11, 2023 · Houston, Tx
F••••••••• F••••• W••••• A••••••• L•• independent RIA
Aug 13, 2019 to Feb 9, 2022 · Houston, Tx
W•••• F•••• A••••••• wirehouse
Dec 22, 2017 to Sep 25, 2019 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••
left Jun 25, 2025, registered Jul 8, 2025 (13 days) · Affiliated broker-dealer or bank to another
P•••• C•••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 31, 2023, registered Nov 8, 2023 (100 days) · Other
E••••• I••••••••• L•• to P•••• C•••••• I•••
left Apr 11, 2023, registered May 23, 2023 (42 days) · Other
F••••••••• F••••• W••••• A••••••• L•• to E••••• I••••••••• L••
left Feb 9, 2022, registered Sep 27, 2022 (230 days) · RIA to RIA
W•••• F•••• A••••••• to F••••••••• F••••• W••••• A••••••• L••
left Sep 25, 2019, registered Aug 13, 2019 (-43 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team

Signals

L•••• E••••• G•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-07-08)
Jun 25, 2025 · Advisor changed firm · fact
L•••• E••••• G•••• left P•••• C•••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-11-08)
Jul 31, 2023 · Advisor changed firm · fact
L•••• E••••• G•••• left E••••• I••••••••• L•• for P•••• C•••••• I••• (registered 2023-05-23)
Apr 11, 2023 · Advisor changed firm · fact
L•••• E••••• G•••• left F••••••••• F••••• W••••• A••••••• L•• for E••••• I••••••••• L•• (registered 2022-09-27)
Feb 9, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address