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

D•••• L• A••••

R•••••• J•••• • A••••••••• I•••national BDRolling Hills Estates, Cadual registrantIAPD 731100

Feed of 09/14/2026

Also filed as David Lynn Allen

At current firm

3 y

since Nov 21, 2022

In the industry

33 y

since Feb 3, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Nov 21, 2022 · Rolling Hills Estates, Ca
V•••••• C•••••• M••••••••• L• former
Nov 20, 2020 to Nov 29, 2022 · San Diego, Ca
C••••••••• W••••• M••••••••• former
Oct 3, 2019 to Oct 28, 2020 · San Diego, Ca
N••• F•••••••• S••••••• independent RIA
Mar 16, 2017 to Sep 3, 2019 · Las Vegas, Nv
K••••• P•••••• W••••• S•••••••• L•• BD affiliated
Nov 28, 2011 to Apr 19, 2017 · Austin, Tx
M••••• S•••••• wirehouse
Jun 1, 2009 to Dec 8, 2011 · San Diego, Ca
M••••• S•••••• • C•• L•• unclassified
Apr 7, 2008 to Jun 1, 2009 · San Diego, Ca
W•••• F•••• A••••••• wirehouse
Sep 8, 2005 to Apr 10, 2008 · Oro Valley, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 21, 2000 to Aug 24, 2005 · Tucson, Az

Moves

a registration end followed by a registration begin elsewhere

V•••••• C•••••• M••••••••• L• to R•••••• J•••• • A••••••••• I•••
left Nov 29, 2022, registered Nov 21, 2022 (-8 days) · RIA to affiliated broker-dealer or bank
C••••••••• W••••• M••••••••• to V•••••• C•••••• M••••••••• L•
left Oct 28, 2020, registered Nov 20, 2020 (23 days) · RIA to RIA · moved with a team
N••• F•••••••• S••••••• to C••••••••• W••••• M•••••••••
left Sep 3, 2019, registered Oct 3, 2019 (30 days) · RIA to RIA
K••••• P•••••• W••••• S•••••••• L•• to N••• F•••••••• S•••••••
left Apr 19, 2017, registered Mar 16, 2017 (-34 days) · Other
M••••• S•••••• to K••••• P•••••• W••••• S•••••••• L••
left Dec 8, 2011, registered Nov 28, 2011 (-10 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to M••••• S•••••• • C•• L••
left Apr 10, 2008, registered Apr 7, 2008 (-3 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Aug 24, 2005, registered Sep 8, 2005 (15 days) · Wirehouse to wirehouse

Signals

D•••• L• A•••• left V•••••• C•••••• M••••••••• L• for R•••••• J•••• • A••••••••• I••• (registered 2022-11-21)
Nov 29, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address