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

J•••• L•• B••••

L•• F•••••••• L••BD affiliatedScottsdale, Azdual registrantIAPD 2502123

Feed of 09/14/2026

Also filed as Jim B••••

At current firm

3 y

since Aug 15, 2023

In the industry

32 y

since Jun 17, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 Aug 15, 2023 · Scottsdale, Az
K••••• A••••••• S•••••••• L•• BD affiliated
Jul 28, 2016 to Aug 14, 2023 · Phoenix, Az
S•• I••••••••• I••• former
Feb 4, 2009 to Jul 21, 2016 · Scottsdale, Az
H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassified
Jun 6, 2001 to Jan 27, 2009 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Aug 14, 2023, registered Aug 15, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
S•• I••••••••• I••• to K••••• A••••••• S•••••••• L••
left Jul 21, 2016, registered Jul 28, 2016 (7 days) · Other · moved with a team
H••••••••• G••••• E••••• • R••••••••• S••••••••• to S•• I••••••••• I•••
left Jan 27, 2009, registered Feb 4, 2009 (8 days) · Other

Signals

J•••• L•• B•••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-08-15)
Aug 14, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address