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•••••• D•• B•••

C••••• I••••••••• A••••••• L••BD affiliatedSeneca, Scdual registrantIAPD 5499563

Feed of 09/14/2026

Also filed as Cari Dee B•••

At current firm

1 y

since Sep 5, 2025

In the industry

18 y

since Jun 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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Seneca, Sc
A•••••• A••••••• S••••••• former
Aug 2, 2024 to Sep 5, 2025 · Dallas, Tx
L•• F•••••••• L•• BD affiliated
May 19, 2022 to Aug 9, 2024 · Naples, Fl
C••• B•••••••• S•••••••• I••• former
May 1, 2017 to May 24, 2022 · Fort Myers, Fl
A•••••••• I••••••••• M••••••••• L•• former
Apr 7, 2016 to Mar 24, 2017 · Naples, Fl
C••• F•••••••• S•••••••• L••• former
May 19, 2014 to Sep 11, 2014 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Jan 28, 2013 to May 8, 2014 · San Diego, Ca
M•• F•••••••• S•••••••• I••• former
Nov 10, 2009 to Oct 26, 2012 · Las Vegas, Nv
V•••• F•••••••• A•••••••• I••• BD affiliated
Aug 26, 2008 to Oct 13, 2009 · Las Vegas, Nv
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 23, 2008 to Aug 14, 2008 · Henderson, Nv

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to A•••••• A••••••• S•••••••
left Aug 9, 2024, registered Aug 2, 2024 (-7 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
A•••••••• I••••••••• M••••••••• L•• to C••• B•••••••• S•••••••• I•••
left Mar 24, 2017, registered May 1, 2017 (38 days) · Other
C••• F•••••••• S•••••••• L••• to A•••••••• I••••••••• M••••••••• L••
left Sep 11, 2014, registered Apr 7, 2016 (574 days) · Other
L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••
left May 8, 2014, registered May 19, 2014 (11 days) · Other
M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••
left Oct 26, 2012, registered Jan 28, 2013 (94 days) · Other
V•••• F•••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••
left Oct 13, 2009, registered Nov 10, 2009 (28 days) · Other
A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Aug 14, 2008, registered Aug 26, 2008 (12 days) · Other

Signals

C•••••• D•• B••• left L•• F•••••••• L•• for A•••••• A••••••• S••••••• (registered 2024-08-02)
Aug 9, 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