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.

Registered advisor

Anthony D Lee

Capital Client Group, Inc.no RAUMCarmel, In dual registrantIAPD 6450534

Feed of 09/15/2026

Also filed as Anthony Dean Lee

At current firm

1 y

since Nov 25, 2024

In the industry

11 y

since Feb 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Capital Client Group, Inc. no RAUM current
since Nov 25, 2024 · Indianapolis, In
Schwab Wealth Advisory, Inc. no RAUM
Mar 10, 2021 to Nov 18, 2024 · Indianapolis, In
Pruco Securities, LLC no RAUM
Dec 2, 2020 to Jan 12, 2021 · Indianapolis, In
Morgan Stanley wirehouse
Oct 24, 2018 to Sep 27, 2019 · Indianapolis, In
Charles Schwab & Co., Inc. national BD
Oct 31, 2016 to Nov 2, 2018 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

Schwab Wealth Advisory, Inc. to Capital Client Group, Inc.
left Nov 18, 2024, registered Nov 25, 2024 (7 days) · Other
Pruco Securities, LLC to Schwab Wealth Advisory, Inc.
left Jan 12, 2021, registered Mar 10, 2021 (57 days) · Other
Morgan Stanley to Pruco Securities, LLC
left Sep 27, 2019, registered Dec 2, 2020 (432 days) · Wirehouse to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to Morgan Stanley
left Nov 2, 2018, registered Oct 24, 2018 (-9 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Anthony D Lee left Schwab Wealth Advisory, Inc. for Capital Client Group, Inc. (registered 2024-11-25)
Nov 18, 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: No RAUM reportedderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address