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•••••••• A• S•••••

L•• F•••••••• L••BD affiliatedJanesville, Wi dual registrantIAPD 4619178

Feed of 09/15/2026

Also filed as C•••••••• A Evans

At current firm

8 y

since Aug 6, 2018

In the industry

23 y

since Sep 17, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Aug 6, 2018 · Cottage Grove, Wi
C•••••• S••••• • C••• I••• national BD
Feb 3, 2009 to Jul 31, 2018 · Middleton, Wi
W•••••• B•••• • C•••••• L••••• BD affiliated
Sep 11, 2006 to Jan 29, 2009 · Chicago, Il
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jul 13, 2006 to Aug 29, 2006 · Chicago, Il
T•• M••••• F•••••••• G••••• L•• independent RIA
Apr 12, 2005 to Jul 24, 2006 · Chicago, Il
B••••••• A•••• M••••••••• L•• mixed wealth
Jan 23, 2004 to Feb 16, 2005 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left Jul 31, 2018, registered Aug 6, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
W•••••• B•••• • C•••••• L••••• to C•••••• S••••• • C••• I•••
left Jan 29, 2009, registered Feb 3, 2009 (5 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to W•••••• B•••• • C•••••• L•••••
left Aug 29, 2006, registered Sep 11, 2006 (13 days) · Other
T•• M••••• F•••••••• G••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jul 24, 2006, registered Jul 13, 2006 (-11 days) · Other
B••••••• A•••• M••••••••• L•• to T•• M••••• F•••••••• G••••• L••
left Feb 16, 2005, registered Apr 12, 2005 (55 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