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•••••• L•• B•••••

Q••••• W•••• A•••••••• L••independent RIAHopkinsville, Ky dual registrantIAPD 1790971

Feed of 09/15/2026

Also filed as Lee B•••••

At current firm

0 y

since Apr 2, 2026

In the industry

38 y

since Feb 12, 1988 (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

Q••••• W•••• A•••••••• L•• independent RIA current
since Apr 2, 2026 · Chicago, Il
Q••••• W•••• A•••••••• L•• independent RIA
Jan 10, 2025 to Mar 26, 2026 · Quincy, Il
C••••••• A•••• M••••••••• L•• BD affiliated
Nov 4, 2021 to Dec 31, 2024 · Ann Arbor, Mi
S• A•••••••• L•• independent RIA
Aug 10, 2021 to Nov 4, 2021 · Quincy, Il
S•• B••• A•••••••• I••• independent RIA
Jul 8, 2021 to Nov 4, 2021 · Quincy, Il
S••••• O•• S••••••••• I••• BD affiliated
Nov 30, 2012 to Jun 22, 2021 · Jackson, Tn
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated
Jun 28, 2007 to Mar 1, 2012 · Hopkinsville, Ky
N••• F•••••••• G••••• I••• former
Dec 11, 2006 to Jun 20, 2007 · Houston, Tx
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Jun 12, 2002 to Dec 12, 2006 · Hopkinsville, Ky

Moves

a registration end followed by a registration begin elsewhere

C••••••• A•••• M••••••••• L•• to Q••••• W•••• A•••••••• L••
left Dec 31, 2024, registered Jan 10, 2025 (10 days) · Affiliated broker-dealer or bank to independent RIA
S• A•••••••• L•• to C••••••• A•••• M••••••••• L••
left Nov 4, 2021, registered Nov 4, 2021 (0 days) · RIA to affiliated broker-dealer or bank
S•• B••• A•••••••• I••• to S• A•••••••• L••
left Nov 4, 2021, registered Aug 10, 2021 (-86 days) · RIA to RIA
S••••• O•• S••••••••• I••• to S•• B••• A•••••••• I•••
left Jun 22, 2021, registered Jul 8, 2021 (16 days) · Affiliated broker-dealer or bank to independent RIA
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to S••••• O•• S••••••••• I•••
left Mar 1, 2012, registered Nov 30, 2012 (274 days) · Other
N••• F•••••••• G••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••
left Jun 20, 2007, registered Jun 28, 2007 (8 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to N••• F•••••••• G••••• I•••
left Dec 12, 2006, registered Dec 11, 2006 (-1 days) · Other

Signals

C•••••• L•• B••••• left C••••••• A•••• M••••••••• L•• for Q••••• W•••• A•••••••• L•• (registered 2025-01-10)
Dec 31, 2024 · 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: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address