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
Brian R Bach
Feed of 09/14/2026
Also filed as Brian R Bach
At current firm
6 y
since Jul 2, 2020
In the industry
39 y
since Feb 2, 1987 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Alphastar Capital Management independent RIA currentsince Jul 2, 2020 · Cornelius, Nc
- MML Investors Services, LLC BD affiliatedMar 21, 2017 to Jun 15, 2020 · Milford, Ct
- Park Avenue Securities LLC BD affiliatedJun 19, 2014 to Dec 12, 2016 · New Haven, Ct
- Oneamerica Securities, Inc. BD affiliatedJun 14, 2010 to Apr 4, 2014 · Framingham, Ma
- MML Investors Services, LLC BD affiliatedAug 1, 2007 to Dec 18, 2009 · Stamford, Ct
- Park Avenue Securities LLC BD affiliatedAug 21, 2002 to May 21, 2007 · Wilton, Ct
- Centaurus Financial, Inc. BD affiliatedMay 29, 2001 to Jun 13, 2002 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- MML Investors Services, LLC to Alphastar Capital Managementleft Jun 15, 2020, registered Jul 2, 2020 (17 days) · Affiliated broker-dealer or bank to independent RIA
- Park Avenue Securities LLC to MML Investors Services, LLCleft Dec 12, 2016, registered Mar 21, 2017 (99 days) · Other · moved with a team
- Oneamerica Securities, Inc. to Park Avenue Securities LLCleft Apr 4, 2014, registered Jun 19, 2014 (76 days) · Other
- MML Investors Services, LLC to Oneamerica Securities, Inc.left Dec 18, 2009, registered Jun 14, 2010 (178 days) · Other
- Park Avenue Securities LLC to MML Investors Services, LLCleft May 21, 2007, registered Aug 1, 2007 (72 days) · Other
- Centaurus Financial, Inc. to Park Avenue Securities LLCleft Jun 13, 2002, registered Aug 21, 2002 (69 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address