DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• S• C•••••••••
Feed of 09/15/2026
Also filed as R. Sean C•••••••••
At current firm
20 y
since Dec 13, 2005
In the industry
24 y
since May 14, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 13, 2005 · Louisville, Ky
- M••••• S•••••• D• I••• unclassifiedMay 21, 2002 to Dec 5, 2005 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Dec 5, 2005, registered Dec 13, 2005 (8 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address