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.
Registered advisor
Clifford John York
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as Cliff York
At current firm
11 y
since Jan 15, 2015
In the industry
24 y
since Jun 20, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cwm, LLC BD affiliated currentsince Jan 15, 2015 · Vincennes, In
- Cetera Investment Advisers LLC BD affiliatedJan 21, 2014 to Dec 17, 2014 · Vincennes, In
- Cetera Investment Services LLC formerJan 28, 2013 to Jan 21, 2014 · Vincennes, In
- Fifth Third Securities, Inc. BD affiliatedAug 7, 2009 to Jan 24, 2013 · Oakland City, In
- Investment Professionals, Inc. formerApr 27, 2009 to Aug 17, 2009 · Evansville, In
- Morgan Keegan & Company, LLC formerJun 4, 2008 to Apr 29, 2009 · Vincennes, In
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to Cwm, LLCleft Dec 17, 2014, registered Jan 15, 2015 (29 days) · Other
- Cetera Investment Services LLC to Cetera Investment Advisers LLCleft Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- Fifth Third Securities, Inc. to Cetera Investment Services LLCleft Jan 24, 2013, registered Jan 28, 2013 (4 days) · Other
- Investment Professionals, Inc. to Fifth Third Securities, Inc.left Aug 17, 2009, registered Aug 7, 2009 (-10 days) · Other
- Morgan Keegan & Company, LLC to Investment Professionals, Inc.left Apr 29, 2009, registered Apr 27, 2009 (-2 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address