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••••• C•••••• C•••••••

A••••• A•• P••••••• S•••••••BD affiliatedFrisco, Tx dual registrantIAPD 6941401

Feed of 09/15/2026

Also filed as C•••••• C•••••••

At current firm

1 y

since Apr 28, 2025

In the industry

10 y

since Sep 1, 2016 (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••••• A•• P••••••• S••••••• BD affiliated current
since Apr 28, 2025 · Princeton, Tx
J••• M••••• S••••••••• L•• wirehouse
May 16, 2023 to Apr 15, 2025 · Desert Hot Springs, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 23, 2022 to May 16, 2023 · Palm Desert, Ca
B••••• P••••• A•••••••• L•• independent RIA
Feb 17, 2021 to Oct 31, 2022 · Newport Beach, Ca
E•••••• C•••••• M••••••••• L•• former
May 5, 2020 to Jan 21, 2021 · Arlington, Va
S•••••• N••••••• • C••••••• I••••••••• national BD
Oct 10, 2018 to May 11, 2020 · Bourbonnais, Il

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••
left Apr 15, 2025, registered Apr 28, 2025 (13 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left May 16, 2023, registered May 16, 2023 (0 days) · Wirehouse to wirehouse · moved with a team
B••••• P••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 31, 2022, registered Nov 23, 2022 (23 days) · RIA to wirehouse
E•••••• C•••••• M••••••••• L•• to B••••• P••••• A•••••••• L••
left Jan 21, 2021, registered Feb 17, 2021 (27 days) · RIA to RIA
S•••••• N••••••• • C••••••• I••••••••• to E•••••• C•••••• M••••••••• L••
left May 11, 2020, registered May 5, 2020 (-6 days) · Affiliated broker-dealer or bank to independent RIA

Signals

L••••• C•••••• C••••••• left J••• M••••• S••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2025-04-28)
Apr 15, 2025 · Advisor changed firm · fact
L••••• C•••••• C••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2023-05-16)
May 16, 2023 · Advisor changed firm · fact
L••••• C•••••• C••••••• left B••••• P••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-23)
Oct 31, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address