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

D••••• C•••••••

I••••••••• A•••••• A•••••••• L••i••••••••• wealthLexington, Kydual registrantIAPD 2983588

Feed of 09/14/2026

Also filed as Dan C•••••••

At current firm

0 y

since Dec 22, 2025

In the industry

28 y

since Jan 3, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• A•••••• A•••••••• L•• i••••••••• wealth current
since Dec 22, 2025 · Lexington, Ky
W•••• F•••• A••••••• wirehouse
Sep 9, 2022 to Dec 5, 2025 · Lexington, Ky
J••• M••••• S••••••••• L•• wirehouse
Jan 3, 2013 to Oct 5, 2022 · Lexington, Ky
F•••• T•••• S••••••••• I••• BD affiliated
May 17, 2007 to Dec 6, 2012 · Lexington, Ky
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 5, 2003 to May 2, 2007 · Lexington, Ky
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 27, 1999 to Apr 24, 2002 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to I••••••••• A•••••• A•••••••• L••
left Dec 5, 2025, registered Dec 22, 2025 (17 days) · Other
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Oct 5, 2022, registered Sep 9, 2022 (-26 days) · Wirehouse to wirehouse
F•••• T•••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Dec 6, 2012, registered Jan 3, 2013 (28 days) · Other
A••••••••• F•••••••• S•••••••• L•• to F•••• T•••• S••••••••• I•••
left May 2, 2007, registered May 17, 2007 (15 days) · Other

Signals

D••••• C••••••• left W•••• F•••• A••••••• for I••••••••• A•••••• A•••••••• L•• (registered 2025-12-22)
Dec 5, 2025 · a•••••• firm change · fact
D••••• C••••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-09-09)
Oct 5, 2022 · a•••••• firm change · 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: I••••••••• WEALTHderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address