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••••• M• L•••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSaint Petersburg, Fl dual registrantIAPD 5091261

Feed of 09/15/2026

Also filed as Carmen Marie Guillory

At current firm

0 y

since Jan 22, 2026

In the industry

17 y

since Nov 21, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Jan 22, 2026 · Saint Petersburg, Fl
R•••••• J•••• • A••••••••• I••• national BD
Sep 22, 2025 to Dec 31, 2025 · Ozark, Mo
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 19, 2016 to Jul 31, 2025 · Houston, Tx
E•••••••• A•••••••• L•• national BD
Jul 20, 2011 to Jun 22, 2016 · Rogers, Ar
E••••• J•••• national BD
Nov 24, 2008 to Jul 29, 2009 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 31, 2025, registered Jan 22, 2026 (22 days) · corporate re-registration, not a move
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Jul 31, 2025, registered Sep 22, 2025 (53 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 22, 2016, registered Aug 19, 2016 (58 days) · Other
E••••• J•••• to E•••••••• A•••••••• L••
left Jul 29, 2009, registered Jul 20, 2011 (721 days) · Affiliated broker-dealer or bank to another

Signals

C••••• M• L••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for R•••••• J•••• • A••••••••• I••• (registered 2025-09-22)
Jul 31, 2025 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address