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•••• S• M•••••••

T•••••• P•••• F••••••••independent RIACovington, La IA-onlyIAPD 2452005

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as C•••• S• M•••••••

At current firm

1 y

since Feb 13, 2025

In the industry

30 y

since Nov 20, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T•••••• P•••• F•••••••• independent RIA current
since Feb 13, 2025 · Covington, La
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 18, 2023 to Jul 10, 2024 · Metairie, La
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 26, 2023 to Jul 5, 2023 · Metairie, La
L•• F•••••••• L•• BD affiliated
Dec 6, 2021 to May 4, 2023 · Covington, La
M••••••• W••••• A••••••• L•• unclassified
Apr 15, 2019 to Dec 31, 2021 · Covington, La
M••••••• W••••• A••••••• L•• unclassified
Aug 16, 2016 to Dec 31, 2018 · Covington, La
M••••• S•••••• wirehouse
Feb 21, 2013 to Jun 19, 2015 · Lexington, Ky
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 22, 2010 to May 16, 2011 · Mandeville, La
U•• F•••••••• S••••••• I••• wirehouse
Jan 24, 2007 to Apr 2, 2009 · Kingport, Tn
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 8, 2000 to Dec 4, 2003 · Oklahoma City, Ok

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to T•••••• P•••• F••••••••
left Jul 10, 2024, registered Feb 13, 2025 (218 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left May 4, 2023, registered Apr 26, 2023 (-8 days) · Affiliated broker-dealer or bank to another
M••••••• W••••• A••••••• L•• to L•• F•••••••• L••
left Dec 31, 2021, registered Dec 6, 2021 (-25 days) · Other
M••••• S•••••• to M••••••• W••••• A••••••• L••
left Jun 19, 2015, registered Aug 16, 2016 (424 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left May 16, 2011, registered Feb 21, 2013 (647 days) · Wirehouse to wirehouse
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 2, 2009, registered Dec 22, 2010 (629 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
left Dec 4, 2003, registered Jan 24, 2007 (1147 days) · Other

Signals

C•••• S• M••••••• left A••••••••• F•••••••• S•••••••• L•• for T•••••• P•••• F•••••••• (registered 2025-02-13)
Jul 10, 2024 · Advisor changed firm · fact
C•••• S• M••••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-04-26)
May 4, 2023 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address