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.

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Registered advisor

J•••• L••• C••••

C•••••••institutionalRaleigh, Ncdual registrantIAPD 3044085

Feed of 09/14/2026

At current firm

3 y

since Apr 13, 2023

In the industry

28 y

since Jun 22, 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

C••••••• institutional current
since Apr 13, 2023 · Raleigh, Nc
C••••• A•••••• N••••••• L•• former
Sep 16, 2021 to Dec 5, 2022 · Greensboro, Nc
P•••••• W••••• A••••••• I••• independent RIA
Jan 19, 2018 to Sep 20, 2021 · Chapel Hill, Nc
C•••••• S••••• • C••• I••• national BD
Aug 18, 2015 to Jan 5, 2018 · Chapel Hill, Nc

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to C•••••••
left Dec 5, 2022, registered Apr 13, 2023 (129 days) · Other
P•••••• W••••• A••••••• I••• to C••••• A•••••• N••••••• L••
left Sep 20, 2021, registered Sep 16, 2021 (-4 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to P•••••• W••••• A••••••• I•••
left Jan 5, 2018, registered Jan 19, 2018 (14 days) · Other

Signals

J•••• L••• C•••• no longer holds an investment adviser registration (last listed at Captrust on the 2026-09-15 feed)
Sep 15, 2026 · a•••••• registration ended · derived
J•••• L••• C•••• left C••••• A•••••• N••••••• L•• for Captrust (registered 2023-04-13)
Dec 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: Institutional managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address