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

B•••••• L•• F•••••

F•••• C••••••• I••••••• S•••••••• I•••BD affiliatedColumbia, Sc dual registrantIAPD 5098753

Certified Financial Planner

Feed of 09/15/2026

Also filed as Lee F•••••

At current firm

1 y

since Nov 7, 2024

In the industry

20 y

since May 5, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• C••••••• I••••••• S•••••••• I••• BD affiliated current
since Nov 7, 2024 · Raleigh, Nc
T••••• A••••••• S•••••••• I••• BD affiliated
Feb 17, 2021 to Oct 28, 2024 · Atlanta, Ga
B••• S••••••••• L•• former
Jan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
B••• I••••••••• S•••••••• I••• former
Sep 16, 2013 to Jan 2, 2018 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Aug 15, 2011 to Sep 5, 2013 · Lexington, Sc

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••
left Oct 28, 2024, registered Nov 7, 2024 (10 days) · Affiliated broker-dealer or bank to another
B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••
left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••
left Sep 5, 2013, registered Sep 16, 2013 (11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

Signals

B•••••• L•• F••••• left T••••• A••••••• S•••••••• I••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2024-11-07)
Oct 28, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address