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
E•••••••• P•••••••• C•••••
Feed of 09/15/2026
Also filed as Liddy C•••••
At current firm
11 y
since Oct 20, 2014
In the industry
19 y
since Apr 23, 2007 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 20, 2014 · West Palm Beach, Fl
- B••••••• C•••••• I••• formerFeb 18, 2009 to Nov 14, 2014 · New York, Ny
- L••••• B••••••• I••• unclassifiedApr 24, 2007 to Oct 15, 2008 · Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to U•• F•••••••• S••••••• I•••left Nov 14, 2014, registered Oct 20, 2014 (-25 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Feb 18, 2009 (126 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address