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•••••••

L•• E••••••••• L••BD affiliatedIndianapolis, Indual registrantIAPD 2877616

Certified Financial Planner

Feed of 09/14/2026

Also filed as Chris Lee B•••••••

At current firm

1 y

since Nov 14, 2024

In the industry

29 y

since May 2, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Indianapolis, In
P•••• S••••••••• L•• no RAUM
Jan 22, 2024 to Nov 14, 2024 · Indianapolis, In
V•••• F•••••••• A•••••••• I••• BD affiliated
Oct 14, 2010 to Feb 7, 2024 · Carmel, In
C•••• I••••••••• S••••••• C•••• former
Apr 23, 2010 to Oct 1, 2010 · Westfield, In
T••••••••• C•••••• L•• former
Feb 2, 2009 to Mar 22, 2010 · Sarasota, Fl
F••••• F•••••••• S••••••••• I••• unclassified
May 8, 2007 to Nov 17, 2008 · Sarasota, Fl
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Mar 13, 2007 to Feb 17, 2009 · Sarasota, Fl
R•••••• J•••• • A••••••••• I••• national BD
Jan 31, 2006 to Feb 20, 2007 · Sarasota, Fl
C•••••• S••••• • C••• I••• national BD
Jan 30, 2003 to Dec 12, 2005 · Fishers (Indianapolis), In

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••
left Feb 7, 2024, registered Jan 22, 2024 (-16 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to V•••• F•••••••• A•••••••• I•••
left Oct 1, 2010, registered Oct 14, 2010 (13 days) · Other
T••••••••• C•••••• L•• to C•••• I••••••••• S••••••• C••••
left Mar 22, 2010, registered Apr 23, 2010 (32 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to F••••• F•••••••• S••••••••• I•••
left Feb 17, 2009, registered May 8, 2007 (-651 days) · Other
F••••• F•••••••• S••••••••• I••• to T••••••••• C•••••• L••
left Nov 17, 2008, registered Feb 2, 2009 (77 days) · Other
R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Feb 20, 2007, registered Mar 13, 2007 (21 days) · Other
C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••
left Dec 12, 2005, registered Jan 31, 2006 (50 days) · Affiliated broker-dealer or bank to another

Signals

C••••••••• L•• B••••••• left V•••• F•••••••• A•••••••• I••• for P•••• S••••••••• L•• (registered 2024-01-22)
Feb 7, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address