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••••

V••••••• A•••••••• I•••BD affiliatedCharlotte, Ncdual registrantIAPD 2723784

Feed of 09/14/2026

Also filed as Clif B••••

At current firm

0 y

since Mar 2, 2026

In the industry

26 y

since Jul 18, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••••••• A•••••••• I••• BD affiliated current
since Mar 2, 2026 · Charlotte, Nc
A••••• A•• P••••••• S••••••• BD affiliated
Dec 11, 2023 to Jan 2, 2026 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 20, 2022 to Sep 9, 2023 · New York, Ny
A••••• A•• P••••••• S••••••• BD affiliated
Dec 13, 2005 to Oct 15, 2015 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to V••••••• A•••••••• I•••
left Jan 2, 2026, registered Mar 2, 2026 (59 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••
left Sep 9, 2023, registered Dec 11, 2023 (93 days) · Wirehouse to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 15, 2015, registered Dec 20, 2022 (2623 days) · Other

Signals

C•••••• L••••• B•••• left A••••• A•• P••••••• S••••••• for V••••••• A•••••••• I••• (registered 2026-03-02)
Jan 2, 2026 · Advisor changed firm · fact
C•••••• L••••• B•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2023-12-11)
Sep 9, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address