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•• C••

L•• F•••••••• L••BD affiliatedRockville, Mddual registrantIAPD 2889383

Feed of 09/14/2026

Also filed as C••••••••• Cox

At current firm

1 y

since Apr 24, 2025

In the industry

28 y

since Jan 23, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Apr 24, 2025 · Rockville, Md
M••••••• F•••••••• G••••• I••• former
Dec 4, 2006 to Jul 16, 2025 · Rockville, Md
F•••••••• C••••••• U••••••••• I••• independent RIA
Jul 30, 2003 to Feb 1, 2007 · Rockville, Md
C••••••• I••••••••• S••••••• unclassified
May 17, 2001 to Apr 22, 2003 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

M••••••• F•••••••• G••••• I••• to L•• F•••••••• L••
left Jul 16, 2025, registered Apr 24, 2025 (-83 days) · RIA to affiliated broker-dealer or bank · moved with a team
F•••••••• C••••••• U••••••••• I••• to M••••••• F•••••••• G••••• I•••
left Feb 1, 2007, registered Dec 4, 2006 (-59 days) · Other
C••••••• I••••••••• S••••••• to F•••••••• C••••••• U••••••••• I•••
left Apr 22, 2003, registered Jul 30, 2003 (99 days) · Other

Signals

C••••••••• L•• C•• left M••••••• F•••••••• G••••• I••• for L•• F•••••••• L•• (registered 2025-04-24)
Jul 16, 2025 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address