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

J••••••• D• L•••••

W•••••• J••••• C•••••• M••••••••• I•••independent RIAEast Greenwich, Ri IA-onlyIAPD 7245677

Feed of 09/15/2026

Also filed as J••••••• David L•••••

At current firm

2 y

since Sep 6, 2024

In the industry

10 y

since Jan 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

W•••••• J••••• C•••••• M••••••••• I••• independent RIA current
since Sep 6, 2024 · East Greenwich, Ri
O••••••••• S••••••••• I••• BD affiliated
Dec 20, 2023 to Sep 4, 2024 · Providence, Ri
P•••• S••••••••• L•• no RAUM
Jun 16, 2023 to Nov 29, 2023 · Warwick, Ri
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 18, 2022 to Jun 12, 2023 · Lake Worth, Fl
E••••• J•••• national BD
Jun 17, 2020 to Aug 17, 2022 · Newport, Ri

Moves

a registration end followed by a registration begin elsewhere

O••••••••• S••••••••• I••• to W•••••• J••••• C•••••• M••••••••• I•••
left Sep 4, 2024, registered Sep 6, 2024 (2 days) · Affiliated broker-dealer or bank to independent RIA
P•••• S••••••••• L•• to O••••••••• S••••••••• I•••
left Nov 29, 2023, registered Dec 20, 2023 (21 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••
left Jun 12, 2023, registered Jun 16, 2023 (4 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 17, 2022, registered Oct 18, 2022 (62 days) · Affiliated broker-dealer or bank to wirehouse

Signals

J••••••• D• L••••• left O••••••••• S••••••••• I••• for W•••••• J••••• C•••••• M••••••••• I••• (registered 2024-09-06)
Sep 4, 2024 · Advisor changed firm · fact
J••••••• D• L••••• left P•••• S••••••••• L•• for O••••••••• S••••••••• I••• (registered 2023-12-20)
Nov 29, 2023 · Advisor changed firm · fact
J••••••• D• L••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••• S••••••••• L•• (registered 2023-06-16)
Jun 12, 2023 · Advisor changed firm · fact
J••••••• D• L••••• left E••••• J•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-10-18)
Aug 17, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address