DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as Josesph B•••• C••••
At current firm
1 y
since Oct 25, 2024
In the industry
29 y
since Dec 23, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Oct 25, 2024 · Waco, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2009 to Nov 6, 2024 · Waco, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 8, 2004 to Jan 30, 2009 · Waco, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 27, 2004 to Sep 14, 2004 · Waco, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 1997 to Aug 31, 2004 · Waco, Tx
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Nov 6, 2024, registered Oct 25, 2024 (-12 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 30, 2009, registered Jan 29, 2009 (-1 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 14, 2004, registered Sep 8, 2004 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 31, 2004, registered Aug 27, 2004 (-4 days) · Other
Signals
- J••••• B•••• C•••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2024-10-25)Nov 6, 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address