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

C•••• A•••••• R••••••••

J• W• C••• A•••••••• I•••BD affiliatedTampa, Fl dual registrantIAPD 1589322

Feed of 09/14/2026

At current firm

6 y

since Sep 25, 2019

In the industry

39 y

since Jan 29, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J• W• C••• A•••••••• I••• BD affiliated current
since Sep 25, 2019 · Tampa, Fl
S• A•••••••• L•• independent RIA
Feb 20, 2018 to Oct 10, 2019 · Traverse City, Mi
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 6, 2016 to Feb 22, 2018 · Traverse City, Mi
M••••• S•••••• wirehouse
Apr 30, 2010 to Jun 17, 2016 · Traverse City, Mi
S•••••• N••••••• • C••••••• I••••••••• national BD
Aug 25, 2006 to May 3, 2010 · Traverse City, Mi
L•• F•••••••• L•• BD affiliated
Jul 14, 2004 to Aug 28, 2006 · Traverse City, Mi

Moves

a registration end followed by a registration begin elsewhere

S• A•••••••• L•• to J• W• C••• A•••••••• I•••
left Oct 10, 2019, registered Sep 25, 2019 (-15 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S• A•••••••• L••
left Feb 22, 2018, registered Feb 20, 2018 (-2 days) · Other
M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 17, 2016, registered Jun 6, 2016 (-11 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••
left May 3, 2010, registered Apr 30, 2010 (-3 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Aug 28, 2006, registered Aug 25, 2006 (-3 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address