DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C••••••• L•• C•••••
Feed of 09/14/2026
Also filed as C••••••• Lee Claire
At current firm
1 y
since Oct 25, 2024
In the industry
28 y
since Jun 10, 1998 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- •••••••• independent RIA currentsince Oct 25, 2024 · Lansing, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 21, 2020 to Oct 28, 2024 · Ithaca, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedSep 26, 2018 to Aug 17, 2020 · Ithaca, Ny
- M••••• S•••••• wirehouseFeb 17, 2017 to Sep 18, 2018 · Ithaca, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to ••••••••left Oct 28, 2024, registered Oct 25, 2024 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 17, 2020, registered Sep 21, 2020 (35 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••• A•• P••••••• S•••••••left Sep 18, 2018, registered Sep 26, 2018 (8 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- C••••••• L•• C••••• left F••••••• P••••••• A•• W•••••••• A••••••• for &Partners (registered 2024-10-25)Oct 28, 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address