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

C•••••• L••• G•••••

L•• F•••••••• L••BD affiliatedDaphne, Aldual registrantIAPD 4309886

Feed of 09/14/2026

Also filed as C•••••• L••• Knowlton

At current firm

0 y

since Apr 24, 2026

In the industry

25 y

since Jan 16, 2001 (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

L•• F•••••••• L•• BD affiliated current
since Apr 24, 2026 · Daphne, Al
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Apr 27, 2026 · Tallahassee, Fl
S••••••••• A•••••• A•••••••• I••• former
Jul 26, 2023 to Jun 14, 2024 · Tallahasee, Fl
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Aug 10, 2023 · Spanish Fort, Al
C••• B•••••••• S•••••••• I••• former
Jan 15, 2014 to May 24, 2022 · Waverly, Ia
L•• F•••••••• L•• BD affiliated
Mar 25, 2009 to Dec 31, 2013 · Catalina, Az

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Apr 27, 2026, registered Apr 24, 2026 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Aug 10, 2023, registered Jul 26, 2023 (-15 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 24, 2022, registered May 18, 2022 (-6 days) · corporate re-registration, not a move
L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Dec 31, 2013, registered Jan 15, 2014 (15 days) · Other

Signals

C•••••• L••• G••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2026-04-24)
Apr 27, 2026 · Advisor changed firm · fact
C•••••• L••• G••••• left L•• F•••••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2023-07-26)
Aug 10, 2023 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address