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

M•••••• D•••• B••••

R•••••• J•••• • A••••••••• I•••national BDDurango, Co dual registrantIAPD 1687675

Feed of 09/15/2026

At current firm

1 y

since Aug 28, 2025

In the industry

39 y

since Jul 2, 1987 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Aug 28, 2025 · Durango, Co
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 29, 2020 to Aug 27, 2025 · Pueblo, Co
R••••• W• B•••• • C•• I••••••••• mixed wealth
Jul 20, 2018 to Oct 23, 2020 · Durango, Co
U•• F•••••••• S••••••• I••• wirehouse
Nov 13, 2008 to Jul 31, 2018 · Alexandria, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 6, 1994 to Nov 15, 2008 · Alexandria, Va

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Aug 27, 2025, registered Aug 28, 2025 (1 days) · Affiliated broker-dealer or bank to another
R••••• W• B•••• • C•• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Oct 23, 2020, registered Oct 29, 2020 (6 days) · RIA to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••
left Jul 31, 2018, registered Jul 20, 2018 (-11 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Nov 15, 2008, registered Nov 13, 2008 (-2 days) · Wirehouse to wirehouse

Signals

M•••••• D•••• B•••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-08-28)
Aug 27, 2025 · 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: National broker-dealer RIAderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address