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.
Feed of 09/15/2026
Also filed as Carlyn Jolene Leforce
At current firm
8 y
since Feb 20, 2018
In the industry
28 y
since Jul 14, 1998 (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
- Edward Jones national BD currentsince Feb 20, 2018 · Scottsdale, Az
- Raymond James & Associates, Inc. national BDNov 8, 2017 to Jan 18, 2018 · Scottsdale, Az
- Equitable Advisors, LLC national BDOct 13, 2016 to Nov 10, 2017 · Scottsdale, Az
- Msi Financial Services, Inc. formerFeb 1, 2016 to Sep 22, 2016 · Tempe, Az
- Public Safety Financial/Galloway independent RIADec 10, 2014 to Sep 28, 2015 · Mesa, Az
- UBS Financial Services Inc. wirehouseJan 24, 2008 to Sep 4, 2014 · Weehawken, Nj
Moves
a registration end followed by a registration begin elsewhere
- Raymond James & Associates, Inc. to Edward Jonesleft Jan 18, 2018, registered Feb 20, 2018 (33 days) · Affiliated broker-dealer or bank to another
- Equitable Advisors, LLC to Raymond James & Associates, Inc.left Nov 10, 2017, registered Nov 8, 2017 (-2 days) · Affiliated broker-dealer or bank to another
- Msi Financial Services, Inc. to Equitable Advisors, LLCleft Sep 22, 2016, registered Oct 13, 2016 (21 days) · Other
- Public Safety Financial/Galloway to Msi Financial Services, Inc.left Sep 28, 2015, registered Feb 1, 2016 (126 days) · Other
- UBS Financial Services Inc. to Public Safety Financial/Gallowayleft Sep 4, 2014, registered Dec 10, 2014 (97 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address