DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
L••• X••• D• C••••
Feed of 09/14/2026
Also filed as Lucy Xuan Du
At current firm
2 y
since Feb 22, 2024
In the industry
18 y
since Nov 26, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 22, 2024 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseJun 15, 2016 to Feb 27, 2024 · Nashville, Tn
- U••• B•••••• I••••••••• I••• formerDec 2, 2013 to Jun 17, 2016 · Nashville, Tn
- S••••••• I••••••••• S•••••••• I••• formerSep 10, 2012 to Dec 4, 2013 · Brentwood, Tn
- U••• B•••••• I••••••••• I••• formerNov 28, 2007 to Sep 10, 2012 · Brentwood, Tn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 27, 2024, registered Feb 22, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jun 17, 2016, registered Jun 15, 2016 (-2 days) · Other · moved with a team
- S••••••• I••••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Dec 4, 2013, registered Dec 2, 2013 (-2 days) · Other
- U••• B•••••• I••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Sep 10, 2012, registered Sep 10, 2012 (0 days) · Other
Signals
- L••• X••• D• C•••• left W•••• F•••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-02-22)Feb 27, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address