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

M•••••• B••••••

I• F•••••••• A••••••• S••••••• L••independent RIACharlotte, Nc IA-onlyIAPD 2933260

Feed of 09/15/2026

Also filed as M•••••• Scott B••••••

At current firm

1 y

since Oct 30, 2024

In the industry

29 y

since Sep 15, 1997 (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

I• F•••••••• A••••••• S••••••• L•• independent RIA current
since Oct 30, 2024 · Irvine, Ca
K•••••••• W••••• A•••••••• L•• BD affiliated
Jul 12, 2018 to Sep 18, 2018 · Costa Mesa, Ca
M• S•••••• W••••• A•••••••• L•• state registered
Apr 4, 2018 to Jul 29, 2024 · Las Vegas, Nv
A••••••• A•••• A•••••••• L•• unclassified
Nov 2, 2017 to Apr 5, 2018 · Costa Mesa, Ca
T•••••• C••••••• I••• independent RIA
Jan 13, 2016 to Oct 20, 2017 · Irvine, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Mar 13, 2007 to Oct 20, 2017 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

M• S•••••• W••••• A•••••••• L•• to K•••••••• W••••• A•••••••• L••
left Jul 29, 2024, registered Jul 12, 2018 (-2209 days) · Other
K•••••••• W••••• A•••••••• L•• to I• F•••••••• A••••••• S••••••• L••
left Sep 18, 2018, registered Oct 30, 2024 (2234 days) · RIA to affiliated broker-dealer or bank
A••••••• A•••• A•••••••• L•• to M• S•••••• W••••• A•••••••• L••
left Apr 5, 2018, registered Apr 4, 2018 (-1 days) · Other · moved with a team
T•••••• C••••••• I••• to A••••••• A•••• A•••••••• L••
left Oct 20, 2017, registered Nov 2, 2017 (13 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••
left Oct 20, 2017, registered Jan 13, 2016 (-646 days) · Other · moved with a team

Signals

M•••••• B•••••• left M• S•••••• W••••• A•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2018-07-12)
Jul 29, 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: Independent wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address