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

A••••• L• B••••

E••••• J••••national BDSt. Louis, Mo dual registrantIAPD 2450992

Feed of 09/15/2026

Also filed as A••••• L• B••••

At current firm

1 y

since Aug 25, 2025

In the industry

30 y

since Apr 10, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 25, 2025 · Tampa, Fl
C••• F•••••••• S•••••••• L••• former
Feb 12, 2025 to Aug 1, 2025 · Houston, Tx
C•••••• G•••• • C• I•• former
Feb 3, 2025 to Aug 1, 2025 · Syracuse, Ny
L•• F•••••••• L•• BD affiliated
Nov 5, 2024 to Jan 16, 2025 · Tampa, Fl
L•••• F••• A••••••• S••••••• BD affiliated
Nov 15, 2023 to Feb 5, 2024 · Dallas, Tx
R•••••• J•••• • A••••••••• I••• national BD
Jan 24, 2020 to Oct 9, 2023 · St. Petersburg, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 14, 2014 to Dec 31, 2020 · St. Petersburg, Fl
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to Jul 30, 2014 · Tampa, Fl
M••••• K••••• • C••••••• L•• former
Jun 23, 2011 to Feb 13, 2013 · Tampa, Fl
U•• F•••••••• S••••••• I••• wirehouse
Jul 31, 2000 to Jul 13, 2007 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to C••• F•••••••• S•••••••• L•••
left Aug 1, 2025, registered Feb 12, 2025 (-170 days) · channel change inside one enterprise, not a move
C••• F•••••••• S•••••••• L••• to E••••• J••••
left Aug 1, 2025, registered Aug 25, 2025 (24 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C•••••• G•••• • C• I••
left Jan 16, 2025, registered Feb 3, 2025 (18 days) · Affiliated broker-dealer or bank to another
L•••• F••• A••••••• S••••••• to L•• F•••••••• L••
left Feb 5, 2024, registered Nov 5, 2024 (274 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to L•••• F••• A••••••• S•••••••
left Oct 9, 2023, registered Nov 15, 2023 (37 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Dec 31, 2020, registered Jan 24, 2020 (-342 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 30, 2014, registered Aug 14, 2014 (15 days) · Other
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••
left Jul 13, 2007, registered Jun 23, 2011 (1441 days) · Other

Signals

A••••• L• B•••• left C••• F•••••••• S•••••••• L••• for E••••• J•••• (registered 2025-08-25)
Aug 1, 2025 · Advisor changed firm · fact
A••••• L• B•••• left L•• F•••••••• L•• for C•••••• G•••• • C• I•• (registered 2025-02-03)
Jan 16, 2025 · Advisor changed firm · fact
A••••• L• B•••• left L•••• F••• A••••••• S••••••• for L•• F•••••••• L•• (registered 2024-11-05)
Feb 5, 2024 · Advisor changed firm · fact
A••••• L• B•••• left R•••••• J•••• • A••••••••• I••• for L•••• F••• A••••••• S••••••• (registered 2023-11-15)
Oct 9, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address