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•••• L•• C••••

O•••• W•••••• I•••BD affiliatedSalem, Scdual registrantIAPD 1350020

Feed of 09/14/2026

At current firm

10 y

since Jan 4, 2016

In the industry

37 y

since Oct 17, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Jan 4, 2016 · Salem, Sc
S••••• A••••••• I••• BD affiliated
Jan 30, 2015 to Jan 4, 2016 · Birmingham, Al
S••••• A••• I••••••••• A•••••• S•••••••• I••• former
Mar 13, 2012 to Jan 30, 2015 · Hartville, Oh
S•• BD affiliated
Oct 15, 2009 to Mar 6, 2012 · Hartville, Oh
B• R•••• W••••• M••••••••• former
Mar 1, 2007 to Sep 18, 2009 · Hartville, Oh
C•••••• S••••••••• O• A••••••• I••• unclassified
Oct 6, 1999 to Mar 1, 2007 · Hartville, Oh

Moves

a registration end followed by a registration begin elsewhere

S••••• A••••••• I••• to O•••• W•••••• I•••
left Jan 4, 2016, registered Jan 4, 2016 (0 days) · Other
S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••
left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
S•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••
left Mar 6, 2012, registered Mar 13, 2012 (7 days) · Other
B• R•••• W••••• M••••••••• to S••
left Sep 18, 2009, registered Oct 15, 2009 (27 days) · Other
C•••••• S••••••••• O• A••••••• I••• to B• R•••• W••••• M•••••••••
left Mar 1, 2007, registered Mar 1, 2007 (0 days) · Other

Signals

No dated event on this person.

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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address