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

T••• M• B••••••••

J••• M••••• S••••••••• L••wirehouseBaltimore, Mddual registrantIAPD 2534477

Feed of 09/14/2026

Also filed as Troy Broadbent

At current firm

2 y

since May 23, 2024

In the industry

32 y

since Sep 16, 1994 (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

J••• M••••• S••••••••• L•• wirehouse current
since May 23, 2024 · Baltimore, Md
K••••• A••••••• S•••••••• L•• BD affiliated
Oct 27, 2023 to Feb 8, 2024 · Austin, Tx
M••••• S•••••• wirehouse
Sep 5, 2023 to Oct 20, 2023 · Washington, Dc
E•••••• C•••••• M••••••••• L•• former
May 23, 2018 to Sep 5, 2023 · Washington, Dc
P•• W••••• M••••••••• BD affiliated
Oct 9, 2013 to May 8, 2018 · Catonsville, Md
S••••••• I••••••••• S•••••••• I••• former
May 3, 2011 to Oct 3, 2013 · Baltimore, Md
M•• S••••••••• I••• unclassified
Aug 1, 2005 to May 2, 2011 · Baltimore, Md

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to J••• M••••• S••••••••• L••
left Feb 8, 2024, registered May 23, 2024 (105 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to K••••• A••••••• S•••••••• L••
left Oct 20, 2023, registered Oct 27, 2023 (7 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
P•• W••••• M••••••••• to E•••••• C•••••• M••••••••• L••
left May 8, 2018, registered May 23, 2018 (15 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••
left Oct 3, 2013, registered Oct 9, 2013 (6 days) · Other
M•• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••
left May 2, 2011, registered May 3, 2011 (1 days) · Other

Signals

T••• M• B•••••••• left K••••• A••••••• S•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-05-23)
Feb 8, 2024 · Advisor changed firm · fact
T••• M• B•••••••• left M••••• S•••••• for K••••• A••••••• S•••••••• L•• (registered 2023-10-27)
Oct 20, 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: Wirehousederived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address