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.
Feed of 09/14/2026
Also filed as Carlton Montgomery Forrester
At current firm
1 y
since Sep 15, 2025
In the industry
23 y
since Jan 22, 2003 (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
S66, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Stephens BD affiliated currentsince Sep 15, 2025 · Atlanta, Ga
- J.P. Morgan Securities LLC wirehouseApr 12, 2021 to Sep 11, 2025 · Atlanta, Ga
- UBS Financial Services Inc. wirehouseDec 9, 2015 to Mar 26, 2021 · Atlanta, Ga
- Credit Suisse Securities (USA) LLC formerApr 6, 2015 to Dec 22, 2015 · Atlanta, Ga
- Edge Advisors, LLC formerApr 7, 2009 to Jan 4, 2010 · Atlanta, Ga
- Credit Suisse Securities (USA) LLC formerJan 22, 2003 to May 7, 2004 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- J.P. Morgan Securities LLC to Stephensleft Sep 11, 2025, registered Sep 15, 2025 (4 days) · Wirehouse to affiliated broker-dealer or bank
- UBS Financial Services Inc. to J.P. Morgan Securities LLCleft Mar 26, 2021, registered Apr 12, 2021 (17 days) · Wirehouse to wirehouse
- Credit Suisse Securities (USA) LLC to UBS Financial Services Inc.left Dec 22, 2015, registered Dec 9, 2015 (-13 days) · corporate re-registration, not a move
- Edge Advisors, LLC to Credit Suisse Securities (USA) LLCleft Jan 4, 2010, registered Apr 6, 2015 (1918 days) · Other
- Credit Suisse Securities (USA) LLC to Edge Advisors, LLCleft May 7, 2004, registered Apr 7, 2009 (1796 days) · Other
Signals
- Carlton Forrester left J.P. Morgan Securities Llc for Stephens (registered 2025-09-15)Sep 11, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address