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

L•••• C••••••••• E•••••

L•• F•••••••• L••BD affiliatedVestavia Hills, Al dual registrantIAPD 2929270

Feed of 09/15/2026

Also filed as L•••• C••••••••• E•••••

At current firm

1 y

since Feb 19, 2025

In the industry

27 y

since Jul 15, 1999 (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•• F•••••••• L•• BD affiliated current
since Feb 19, 2025 · Decatur, Al
F••••• I••••••••• independent RIA
Jan 10, 2024 to Nov 18, 2024 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 3, 2020 to Jan 9, 2024 · Birmingham, Al
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Aug 3, 2020 · Birmingham, Al
C••••• I••••••••• S••••••• L•• former
Jan 10, 2013 to Jan 21, 2014 · St Cloud, Mn
P•• W••••• M••••••••• BD affiliated
Oct 11, 2012 to Jan 2, 2013 · Northport, Al
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 21, 2012 to Sep 17, 2012 · Anniston, Al
C••••••• A•••• M••••••••• I•• unclassified
Jan 6, 2006 to Oct 29, 2009 · Montgomery, Al
C•••••••• G••••• M•••••• I••• BD affiliated
May 4, 2005 to Nov 15, 2005 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to L•• F•••••••• L••
left Nov 18, 2024, registered Feb 19, 2025 (93 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Jan 9, 2024, registered Jan 10, 2024 (1 days) · Wirehouse to independent RIA
C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 3, 2020, registered Aug 3, 2020 (0 days) · Affiliated broker-dealer or bank to wirehouse
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
P•• W••••• M••••••••• to C••••• I••••••••• S••••••• L••
left Jan 2, 2013, registered Jan 10, 2013 (8 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••
left Sep 17, 2012, registered Oct 11, 2012 (24 days) · Other
C••••••• A•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 29, 2009, registered Aug 21, 2012 (1027 days) · Other
C•••••••• G••••• M•••••• I••• to C••••••• A•••• M••••••••• I••
left Nov 15, 2005, registered Jan 6, 2006 (52 days) · Other

Signals

L•••• C••••••••• E••••• left F••••• I••••••••• for L•• F•••••••• L•• (registered 2025-02-19)
Nov 18, 2024 · Advisor changed firm · fact
L•••• C••••••••• E••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••• I••••••••• (registered 2024-01-10)
Jan 9, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address