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

R•••• R•••• L•••••

E••••• J••••national BDGaithersburg, Md dual registrantIAPD 2151212

Feed of 09/14/2026

Also filed as R•••• R•••• L•••••

At current firm

2 y

since Aug 2, 2024

In the industry

28 y

since Oct 1, 1997 (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

E••••• J•••• national BD current
since Aug 2, 2024 · Gaithersburg, Md
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Jun 14, 2024 · Gaithersburg, Md
C••••• A••••••• L•• former
Apr 14, 2023 to Mar 21, 2024 · Gaithersburg, Md
P•••• S••••••••• L•• no RAUM
Nov 2, 2018 to Feb 21, 2023 · Laytonsville, Md
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 25, 2016 to Apr 16, 2018 · Mount Airy, Md
S••••••• F•••••••• S•••••••• I••• former
Aug 27, 2013 to Feb 3, 2015 · Rockville, Md
M•• F•••••••• S•••••••• I••• former
Dec 12, 1997 to Jul 30, 2013 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to E••••• J••••
left Jun 14, 2024, registered Aug 2, 2024 (49 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
P•••• S••••••••• L•• to C••••• A••••••• L••
left Feb 21, 2023, registered Apr 14, 2023 (52 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••
left Apr 16, 2018, registered Nov 2, 2018 (200 days) · Wirehouse to affiliated broker-dealer or bank
S••••••• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 3, 2015, registered May 25, 2016 (477 days) · Other
M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••
left Jul 30, 2013, registered Aug 27, 2013 (28 days) · Other

Signals

R•••• R•••• L••••• left C••••• I••••••••• A••••••• L•• for E••••• J•••• (registered 2024-08-02)
Jun 14, 2024 · Advisor changed firm · fact
R•••• R•••• L••••• left P•••• S••••••••• L•• for C••••• A••••••• L•• (registered 2023-04-14)
Feb 21, 2023 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address