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•••• R••••

L•• E••••••••• L••BD affiliatedLouisville, Kydual registrantIAPD 6715912

Feed of 09/14/2026

Also filed as C•••• Bard R••••

At current firm

1 y

since Jan 22, 2025

In the industry

17 y

since Aug 1, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Jan 22, 2025 · Louisville, Ky
A••••••• F•••••••• A•••••••• L•• BD affiliated
Sep 29, 2023 to Jan 14, 2025 · Louisville, Ky
I•••••••• A••••••• S•••••••• independent RIA
Dec 20, 2022 to Sep 6, 2023 · Louisville, Ky
P•••• S••••••••• L•• no RAUM
Jun 17, 2021 to Aug 19, 2022 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

A••••••• F•••••••• A•••••••• L•• to L•• E••••••••• L••
left Jan 14, 2025, registered Jan 22, 2025 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
I•••••••• A••••••• S•••••••• to A••••••• F•••••••• A•••••••• L••
left Sep 6, 2023, registered Sep 29, 2023 (23 days) · RIA to affiliated broker-dealer or bank
P•••• S••••••••• L•• to I•••••••• A••••••• S••••••••
left Aug 19, 2022, registered Dec 20, 2022 (123 days) · Affiliated broker-dealer or bank to independent RIA

Signals

C•••• R•••• left A••••••• F•••••••• A•••••••• L•• for L•• E••••••••• L•• (registered 2025-01-22)
Jan 14, 2025 · Advisor changed firm · fact
C•••• R•••• left I•••••••• A••••••• S•••••••• for A••••••• F•••••••• A•••••••• L•• (registered 2023-09-29)
Sep 6, 2023 · Advisor changed firm · fact
C•••• R•••• left P•••• S••••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2022-12-20)
Aug 19, 2022 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address