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

R••••• C••••••••• B•••••••

L•• F•••••••• L••BD affiliatedSouth Hero, Vtdual registrantIAPD 5532772

Feed of 09/14/2026

Also filed as Rob C••••••••• B•••••••

At current firm

2 y

since Apr 5, 2024

In the industry

27 y

since May 1, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Apr 5, 2024 · South Hero, Vt
L•••••• I••••••••• independent RIA
Mar 18, 2019 to Apr 8, 2024 · South Hero, Vt
C•••••• A••••••• BD affiliated
Mar 14, 2019 to Apr 8, 2024 · South Hero, Vt
R•••• I••••••••• A••••••• L•• BD affiliated
Jan 29, 2019 to Feb 25, 2019 · South Hero, Vt
B•••••• L••• A••••••• S•••••••• I••• BD affiliated
Aug 22, 2016 to Oct 18, 2018 · Williston, Vt
C•••••••• F•••••••• G•••• A••••••• former
Nov 20, 2015 to May 27, 2016 · Williston, Vt

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to L•••••• I•••••••••
left Apr 8, 2024, registered Mar 18, 2019 (-1848 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to L•• F•••••••• L••
left Apr 8, 2024, registered Apr 5, 2024 (-3 days) · RIA to affiliated broker-dealer or bank
R•••• I••••••••• A••••••• L•• to C•••••• A•••••••
left Feb 25, 2019, registered Mar 14, 2019 (17 days) · Affiliated broker-dealer or bank to another
B•••••• L••• A••••••• S•••••••• I••• to R•••• I••••••••• A••••••• L••
left Oct 18, 2018, registered Jan 29, 2019 (103 days) · Affiliated broker-dealer or bank to another
C•••••••• F•••••••• G•••• A••••••• to B•••••• L••• A••••••• S•••••••• I•••
left May 27, 2016, registered Aug 22, 2016 (87 days) · corporate re-registration, not a move

Signals

R••••• C••••••••• B••••••• left L•••••• I••••••••• for L•• F•••••••• L•• (registered 2024-04-05)
Apr 8, 2024 · Advisor changed firm · fact
R••••• C••••••••• B••••••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2019-03-18)
Apr 8, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address