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.
Registered advisor
Lisa Potts Bauer
Feed of 09/14/2026
Also filed as Lisa Diane Potts
At current firm
5 y
since Nov 12, 2020
In the industry
23 y
since Feb 28, 2003 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
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
- Cetera Investment Advisers LLC BD affiliated currentsince Nov 12, 2020 · Moultrie, Ga
- Ridge Capital Management, LLC independent RIAJun 13, 2017 to Dec 31, 2021 · Alpharetta, Ga
- First Allied Advisory Services, Inc. formerApr 29, 2015 to Nov 12, 2020 · Brunswick, Ga
- Suntrust Investment Services, Inc. formerMay 31, 2011 to Apr 1, 2015 · Saint Simons Island, Ga
- Valic Financial Advisors, Inc. BD affiliatedFeb 20, 2008 to Apr 25, 2011 · Macon, Ga
- Ameriprise Financial Services, LLC national BDAug 8, 2007 to Feb 13, 2008 · Brunswick, Ga
- Suntrust Investment Services, Inc. formerApr 1, 2004 to Aug 14, 2007 · Saint Simons Island, Ga
- Suntrust Investment Services, Inc. formerMar 3, 2003 to Jun 27, 2003 · St Simons Island, Ga
Moves
a registration end followed by a registration begin elsewhere
- Ridge Capital Management, LLC to Cetera Investment Advisers LLCleft Dec 31, 2021, registered Nov 12, 2020 (-414 days) · RIA to affiliated broker-dealer or bank
- First Allied Advisory Services, Inc. to Ridge Capital Management, LLCleft Nov 12, 2020, registered Jun 13, 2017 (-1248 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Suntrust Investment Services, Inc. to First Allied Advisory Services, Inc.left Apr 1, 2015, registered Apr 29, 2015 (28 days) · Other
- Valic Financial Advisors, Inc. to Suntrust Investment Services, Inc.left Apr 25, 2011, registered May 31, 2011 (36 days) · Other
- Ameriprise Financial Services, LLC to Valic Financial Advisors, Inc.left Feb 13, 2008, registered Feb 20, 2008 (7 days) · Other
- Suntrust Investment Services, Inc. to Ameriprise Financial Services, LLCleft Aug 14, 2007, registered Aug 8, 2007 (-6 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
- 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