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•••• A••• M•••

L•• F•••••••• L••BD affiliatedBaltimore, Mddual registrantIAPD 1970174

Feed of 09/14/2026

At current firm

0 y

since Jan 26, 2026

In the industry

36 y

since Sep 19, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 Jan 26, 2026 · Baltimore, Md
S••••• O•• S••••••••• I••• BD affiliated
Nov 5, 2025 to Jan 22, 2026 · Baltimore, Md
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Nov 3, 2025 · Rhinebeck, Ny
C••••• A••••••• L•• former
Oct 29, 2010 to Mar 21, 2024 · Shrewsbury, Ma
O•••• F•• I••• former
Nov 27, 2006 to Nov 1, 2010 · Treasure Island, Fl
O•••• F•• I••• former
Jun 1, 1998 to Jan 10, 2005 · Palm Harbor, Fl

Moves

a registration end followed by a registration begin elsewhere

S••••• O•• S••••••••• I••• to L•• F•••••••• L••
left Jan 22, 2026, registered Jan 26, 2026 (4 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to S••••• O•• S••••••••• I•••
left Nov 3, 2025, registered Nov 5, 2025 (2 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
O•••• F•• I••• to C••••• A••••••• L••
left Nov 1, 2010, registered Oct 29, 2010 (-3 days) · Other

Signals

B•••• A••• M••• left S••••• O•• S••••••••• I••• for L•• F•••••••• L•• (registered 2026-01-26)
Jan 22, 2026 · Advisor changed firm · fact
B•••• A••• M••• left C••••• I••••••••• A••••••• L•• for S••••• O•• S••••••••• I••• (registered 2025-11-05)
Nov 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address