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.

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Registered advisor

S•••••• B••••• R••••

L•• F•••••••• L••BD affiliatedMclean, Va dual registrantIAPD 1752276

Certified Financial Planner

Feed of 09/14/2026

At current firm

14 y

since Jul 11, 2012

In the industry

38 y

since Dec 7, 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

L•• F•••••••• L•• BD affiliated current
since Jul 11, 2012 · Alexandria, Va
C•••••• O•• F•••••••• A••••••• L•• unclassified
Apr 27, 2010 to Jul 26, 2011 · Melville, Ny
C•••• C•••• F•••••••• S••••••• unclassified
Jun 28, 1994 to May 7, 2010 · Silver Spring, Md

Moves

a registration end followed by a registration begin elsewhere

C•••••• O•• F•••••••• A••••••• L•• to L•• F•••••••• L••
left Jul 26, 2011, registered Jul 11, 2012 (351 days) · Other
C•••• C•••• F•••••••• S••••••• to C•••••• O•• F•••••••• A••••••• L••
left May 7, 2010, registered Apr 27, 2010 (-10 days) · corporate re-registration, not a move

Signals

S•••••• B••••• R••••, registered through L•• F•••••••• L•• (Alexandria, VA), is a direct owner of Piedmont Wealth Management, an adviser first registered 2026-01-24; in 2023-2025, 171 of 213 such owners registered at this class of firm moved to the new adviser within a year, median 75 days after the filing
Jan 24, 2026 · Owner of a newly registered adviser · 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: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address