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.
Registered advisor
Fred Lann Middleton
Feed of 09/14/2026
At current firm
2 y
since Mar 21, 2024
In the industry
27 y
since Aug 17, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Mar 21, 2024 · Opelika, Al
- Capital Investment Advisory Services, LLC BD affiliatedFeb 6, 2013 to Apr 2, 2015 · Raleigh, Nc
- Cic Advisers, LLC unclassifiedAug 23, 2011 to Dec 31, 2012 · Raleigh, Nc
- W.R. Taylor & Company, LLC formerMay 15, 2006 to Mar 25, 2011 · Montgomery, Al
- UBS Financial Services Inc. wirehouseFeb 14, 2003 to May 15, 2006 · Montgomery, Al
- Morgan Stanley Dw Inc. unclassifiedNov 2, 1999 to Feb 19, 2003 · Montgomery, Al
Moves
a registration end followed by a registration begin elsewhere
- Capital Investment Advisory Services, LLC to Cetera Investment Advisers LLCleft Apr 2, 2015, registered Mar 21, 2024 (3276 days) · Other
- Cic Advisers, LLC to Capital Investment Advisory Services, LLCleft Dec 31, 2012, registered Feb 6, 2013 (37 days) · corporate re-registration, not a move
- W.R. Taylor & Company, LLC to Cic Advisers, LLCleft Mar 25, 2011, registered Aug 23, 2011 (151 days) · Other
- UBS Financial Services Inc. to W.R. Taylor & Company, LLCleft May 15, 2006, registered May 15, 2006 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Morgan Stanley Dw Inc. to UBS Financial Services Inc.left Feb 19, 2003, registered Feb 14, 2003 (-5 days) · Other
Signals
No dated event on this person.
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