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••• B•••

H••••••••• F•••••••• A•••••••BD affiliatedNovi, Mi dual registrantIAPD 4455995

Feed of 09/17/2026

Also filed as C•••••• L••• Cornwall

At current firm

1 y

since Jan 6, 2025

In the industry

24 y

since Oct 23, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jun 29, 2026 · Novi, Mi
H••••••••• F•••••••• A••••••• BD affiliated current
since Jan 6, 2025 · Novi, Mi
L•• F•••••••• L•• BD affiliated
Feb 1, 2024 to Dec 23, 2024 · Canton, Mi
O•••• I••••••••• I••• BD affiliated
Sep 14, 2017 to Feb 1, 2024 · Canton, Mi
C••••••• S••••••••• I••• BD affiliated
Nov 27, 2012 to Aug 30, 2017 · Detroit, Mi
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 20, 2012 · Taylor, Mi
C•••• I••••••••• S••••••• C•••• former
Jul 20, 2011 to Oct 1, 2012 · Southgate, Mi

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••
left Dec 23, 2024, registered Jan 6, 2025 (14 days) · Affiliated broker-dealer or bank to another
O•••• I••••••••• I••• to L•• F•••••••• L••
left Feb 1, 2024, registered Feb 1, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••• S••••••••• I••• to O•••• I••••••••• I•••
left Aug 30, 2017, registered Sep 14, 2017 (15 days) · Other
J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••
left Nov 20, 2012, registered Nov 27, 2012 (7 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

C•••••• L••• B••• left L•• F•••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2025-01-06)
Dec 23, 2024 · Advisor changed firm · fact
C•••••• L••• B••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2024-02-01)
Feb 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address