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

J•••••• C••••••••• B•••••

K•••••••• W••••• A•••••••• L••BD affiliatedPensacola, FlIA-onlyIAPD 4053759

Feed of 09/14/2026

Also filed as Frances J•••••• C•••••••••

At current firm

2 y

since Jul 22, 2024

In the industry

26 y

since Jan 10, 2000 (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

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Jul 22, 2024 · Pensacola, Fl
E••••••••• A••••••• L•• former
Dec 18, 2019 to Jan 22, 2025 · Pensacola, Fl
B• R•••• W••••• M••••••••• former
Nov 14, 2017 to Jul 10, 2018 · Andalusia, Al
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to Nov 13, 2017 · Andalusia, Al
M••••• K••••• • C••••••• L•• former
Jan 29, 2003 to Feb 13, 2013 · Andalusia, Al

Moves

a registration end followed by a registration begin elsewhere

E••••••••• A••••••• L•• to K•••••••• W••••• A•••••••• L••
left Jan 22, 2025, registered Jul 22, 2024 (-184 days) · RIA to affiliated broker-dealer or bank
B• R•••• W••••• M••••••••• to E••••••••• A••••••• L••
left Jul 10, 2018, registered Dec 18, 2019 (526 days) · Other
R•••••• J•••• • A••••••••• I••• to B• R•••• W••••• M•••••••••
left Nov 13, 2017, registered Nov 14, 2017 (1 days) · Other
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move

Signals

J•••••• C••••••••• B••••• left E••••••••• A••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2024-07-22)
Jan 22, 2025 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address