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

T••••• J••••• B•••

C•••• R••• A••••••• L••formerPonte Vedra Beach, Fldual registrantIAPD 2786611

Feed of 09/14/2026

Also filed as T••••• J B•••

At current firm

2 y

since Apr 4, 2024

In the industry

30 y

since Aug 23, 1996 (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

C•••• R••• A••••••• L•• former current
since Apr 4, 2024 · Ponte Vedra Beach, Fl
S•••••• C•••••• A••••••• L•• BD affiliated
Nov 1, 2019 to Mar 14, 2024 · Chicago, Il
J••• M••••• S••••••••• L•• wirehouse
Aug 22, 2011 to Nov 6, 2019 · Chicago, Il
C••••• S••••• S••••••••• •••• L•• former
Nov 7, 2007 to Sep 8, 2011 · Chicago, Il
W•••••• B•••• • C•••••• L••••• BD affiliated
Sep 20, 2006 to Nov 6, 2007 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

S•••••• C•••••• A••••••• L•• to C•••• R••• A••••••• L••
left Mar 14, 2024, registered Apr 4, 2024 (21 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
J••• M••••• S••••••••• L•• to S•••••• C•••••• A••••••• L••
left Nov 6, 2019, registered Nov 1, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••
left Sep 8, 2011, registered Aug 22, 2011 (-17 days) · Other
W•••••• B•••• • C•••••• L••••• to C••••• S••••• S••••••••• •••• L••
left Nov 6, 2007, registered Nov 7, 2007 (1 days) · Other

Signals

T••••• J••••• B••• left S•••••• C•••••• A••••••• L•• for C•••• R••• A••••••• L•• (registered 2024-04-04)
Mar 14, 2024 · 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: Former SEC-registered adviserderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address