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.
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Registered advisor
F••• C••• L••
Feed of 09/14/2026
Also filed as F••• C Lee
At current firm
3 y
since Dec 14, 2022
In the industry
21 y
since Oct 25, 2004 (earliest exam, job or registration)
Prior registered firms
11
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Dec 14, 2022 · Minneapolis, Mn
- U••• B•••••• I••••••••• I••• formerMar 31, 2020 to Dec 9, 2022 · Vancouver, Wa
- W•••• F•••• A••••••• wirehouseJan 6, 2020 to Apr 7, 2020 · Seattle, Wa
- U••• B•••••• I••••••••• I••• formerFeb 10, 2015 to Dec 26, 2019 · Saint Paul, Mn
- W•••• F•••• A••••••• wirehouseOct 31, 2012 to Feb 6, 2015 · Vancouver, Wa
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 30, 2012 · Portland, Or
- C•••• I••••••••• S••••••• C•••• formerJan 11, 2012 to Oct 1, 2012 · Portland, Or
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Dec 6, 2011 · Vancouver, Wa
- W•••• F•••• I••••••••• L•• unclassifiedNov 21, 2007 to Jan 3, 2011 · Compton, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 26, 2007 to Sep 12, 2007 · Pasadena, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 7, 2005 to Apr 30, 2007 · Monrovia, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 28, 2004 to Mar 10, 2005 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Dec 9, 2022, registered Dec 14, 2022 (5 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Apr 7, 2020, registered Mar 31, 2020 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Dec 26, 2019, registered Jan 6, 2020 (11 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Feb 6, 2015, registered Feb 10, 2015 (4 days) · Other
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 30, 2012, registered Oct 31, 2012 (1 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Dec 6, 2011, registered Jan 11, 2012 (36 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to W•••• F•••• I••••••••• L••left Sep 12, 2007, registered Nov 21, 2007 (70 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Apr 30, 2007, registered Apr 26, 2007 (-4 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 10, 2005, registered Mar 7, 2005 (-3 days) · Other
Signals
- F••• C••• L•• left U••• B•••••• I••••••••• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2022-12-14)Dec 9, 2022 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address