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.

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Registered advisor

C••• D•••••••

L•• F•••••••• L••BD affiliatedScottsdale, Az dual registrantIAPD 1485613

Feed of 09/14/2026

Also filed as C••• Ellen Zweig

At current firm

1 y

since Mar 17, 2025

In the industry

15 y

since Dec 9, 2010 (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

L•• F•••••••• L•• BD affiliated current
since Mar 17, 2025 · Scottsdale, Az
W•••• F•••• A••••••• wirehouse
Jan 27, 2023 to Apr 6, 2023 · St. Louis, Mo
I• A••••••• S•••••••• I••• former
Jun 3, 2014 to Sep 2, 2022 · Naperville, Il
M••••• S•••••• wirehouse
Dec 10, 2010 to Mar 14, 2013 · Riverwoods, Il

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Apr 6, 2023, registered Mar 17, 2025 (711 days) · Wirehouse to affiliated broker-dealer or bank
I• A••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Sep 2, 2022, registered Jan 27, 2023 (147 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to I• A••••••• S•••••••• I•••
left Mar 14, 2013, registered Jun 3, 2014 (446 days) · Other

Signals

C••• D••••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2025-03-17)
Apr 6, 2023 · Advisor changed firm · fact
C••• D••••••• left I• A••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2023-01-27)
Sep 2, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address