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

B•••• D•••• M•••••

O•••• W•••••• I•••BD affiliatedSan Diego, Cadual registrantIAPD 3035890

Feed of 09/14/2026

Also filed as B•••• D M•••••

At current firm

2 y

since Nov 3, 2023

In the industry

28 y

since Apr 23, 1998 (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

O•••• W•••••• I••• BD affiliated current
since Nov 3, 2023 · San Diego, Ca
T•• R••••••••• G••••• L•• former
Oct 1, 2020 to Jun 10, 2024 · San Diego, Ca
T•• R••••••••• G••••• L•• former
Jan 19, 2015 to Aug 23, 2016 · San Diego, Ca
F•• S••••••••• C••••••••• former
Jan 19, 2012 to Nov 3, 2023 · Atlanta, Ga
W••••• A•••• M••••••••• I••••••••• independent RIA
Feb 23, 2009 to Dec 31, 2018 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Jan 29, 2002 to Oct 8, 2010 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

T•• R••••••••• G••••• L•• to O•••• W•••••• I•••
left Jun 10, 2024, registered Nov 3, 2023 (-220 days) · RIA to affiliated broker-dealer or bank · moved with a team
F•• S••••••••• C••••••••• to T•• R••••••••• G••••• L••
left Nov 3, 2023, registered Jan 19, 2015 (-3210 days) · Other
W••••• A•••• M••••••••• I••••••••• to F•• S••••••••• C•••••••••
left Dec 31, 2018, registered Jan 19, 2012 (-2538 days) · Other
L•• F•••••••• L•• to W••••• A•••• M••••••••• I•••••••••
left Oct 8, 2010, registered Feb 23, 2009 (-592 days) · Other

Signals

B•••• D•••• M••••• left T•• R••••••••• G••••• L•• for O•••• W•••••• I••• (registered 2023-11-03)
Jun 10, 2024 · Advisor changed firm · fact
B•••• D•••• M••••• left F•• S••••••••• C••••••••• for T•• R••••••••• G••••• L•• (registered 2015-01-19)
Nov 3, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address