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

V•••••• B•••• D••••

M•••• C••••••• A••••••• S••••••BD affiliatedJohnson City, Tn dual registrantIAPD 2408951

Feed of 09/14/2026

Also filed as V•••••• B•••• D••••

At current firm

1 y

since May 29, 2025

In the industry

30 y

since Sep 21, 1995 (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

M•••• C••••••• A••••••• S•••••• BD affiliated current
since May 29, 2025 · Johnson City, Tn
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to May 29, 2025 · Johnson City, Tn
A••••••• P••••••••• A•••••••• I•• former
Jun 28, 2016 to Oct 11, 2024 · Holbrook, Ny
W••••••• F•••••••• S•••••••• I••• former
Jan 20, 2009 to Jul 14, 2016 · Johnson City, Tn
S•• A•••••••• I••• former
Dec 4, 2008 to Dec 16, 2008 · Johnson City, Tn

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to M•••• C••••••• A••••••• S••••••
left May 29, 2025, registered May 29, 2025 (0 days) · Affiliated broker-dealer or bank to another
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
W••••••• F•••••••• S•••••••• I••• to A••••••• P••••••••• A•••••••• I••
left Jul 14, 2016, registered Jun 28, 2016 (-16 days) · Other
S•• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Dec 16, 2008, registered Jan 20, 2009 (35 days) · Other

Signals

V•••••• B•••• D•••• left O•••• W•••••• I••• for M•••• C••••••• A••••••• S•••••• (registered 2025-05-29)
May 29, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address