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

B••• F••••••• B••••••

M••••••• I••••••••• N•••••• I•••BD affiliatedDallas, Tx dual registrantIAPD 1449116

Feed of 09/15/2026

At current firm

4 y

since Dec 13, 2021

In the industry

40 y

since Jan 31, 1986 (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

M••••••• I••••••••• N•••••• I••• BD affiliated current
since Dec 13, 2021 · Dallas, Tx
C••••• A•••••• N••••••• L•• former
May 20, 2021 to Dec 13, 2021 · Virginia Beach, Va
S••••• F•••••••• G•••• I•• former
Nov 14, 2008 to May 20, 2021 · Washington, Dc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 8, 2006 to Aug 28, 2008 · Washington, Dc
A•••••• I••• unclassified
Jul 26, 2001 to Mar 8, 2006 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to M••••••• I••••••••• N•••••• I•••
left Dec 13, 2021, registered Dec 13, 2021 (0 days) · Affiliated broker-dealer or bank to another
S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••
left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••• F•••••••• G•••• I••
left Aug 28, 2008, registered Nov 14, 2008 (78 days) · Other
A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 8, 2006, registered Mar 8, 2006 (0 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: Broker-dealer affiliated wealth managerderived
Years in industry: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address