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

B•••• C• C•••••

F•••• K••••••• S••••••••• C•••independent RIALouisville, Kydual registrantIAPD 4513571

Certified Financial Planner

Feed of 09/14/2026

Also filed as B•••• Charles C•••••

At current firm

6 y

since May 29, 2020

In the industry

21 y

since Feb 7, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• K••••••• S••••••••• C••• independent RIA current
since May 29, 2020 · Louisville, Ky
R•••• S•••••••• • A••••••••• L•• former
Jun 17, 2019 to Jun 1, 2020 · Lousiville, Ky
R•••••• J•••• • A••••••••• I••• national BD
Oct 21, 2011 to Jun 20, 2019 · Louisville, Ky
M••••• S•••••• wirehouse
Apr 12, 2010 to Aug 26, 2011 · Louisville, Ky
T•• G••••• L••• unclassified
Feb 7, 2005 to Dec 31, 2007 · Beverly, Ma

Moves

a registration end followed by a registration begin elsewhere

R•••• S•••••••• • A••••••••• L•• to F•••• K••••••• S••••••••• C•••
left Jun 1, 2020, registered May 29, 2020 (-3 days) · RIA to RIA · moved with a team
R•••••• J•••• • A••••••••• I••• to R•••• S•••••••• • A••••••••• L••
left Jun 20, 2019, registered Jun 17, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Aug 26, 2011, registered Oct 21, 2011 (56 days) · Wirehouse to affiliated broker-dealer or bank
T•• G••••• L••• to M••••• S••••••
left Dec 31, 2007, registered Apr 12, 2010 (833 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address