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
R••• M• B•••••
Feed of 09/14/2026
Also filed as R••• M• B•••••
At current firm
2 y
since Apr 23, 2024
In the industry
28 y
since Jul 23, 1998 (earliest exam, job or registration)
Prior registered firms
11
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 23, 2024 · Mckinney, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 2, 2021 to Apr 10, 2024 · Plano, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerAug 5, 2020 to May 10, 2021 · Plano, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jun 22, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 23, 2016 to Jan 8, 2018 · Addison, Tx
- E•••• S••••••••• L•• BD affiliatedFeb 29, 2016 to May 27, 2016 · Dallas, Tx
- E•••••• C•••••• M••••••••• L•• formerDec 3, 2014 to Dec 7, 2015 · Dallas, Tx
- B••• A•••••••• L•• formerAug 31, 2010 to Oct 28, 2014 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseJan 23, 2009 to Aug 24, 2010 · Charlotte, Nc
- B••• A•••••••• L•• formerFeb 2, 2005 to Aug 21, 2008 · Charlotte, Nc
- B•••• D••••••••• L•• unclassifiedOct 22, 2004 to Feb 3, 2005 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 8, 2002 to Sep 3, 2004 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Apr 10, 2024, registered Apr 23, 2024 (13 days) · Affiliated broker-dealer or bank to wirehouse
- P•• M•••••• A•••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 10, 2021, registered Sep 2, 2021 (115 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to P•• M•••••• A•••••• S••••••••• I•••left Jun 22, 2020, registered Aug 5, 2020 (44 days) · Other · moved with a team
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- E•••• S••••••••• L•• to U••• F•••••••• P••••••• S•••••••left May 27, 2016, registered Jun 23, 2016 (27 days) · Other
- E•••••• C•••••• M••••••••• L•• to E•••• S••••••••• L••left Dec 7, 2015, registered Feb 29, 2016 (84 days) · Other
- B••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••left Oct 28, 2014, registered Dec 3, 2014 (36 days) · Other
- U•• F•••••••• S••••••• I••• to B••• A•••••••• L••left Aug 24, 2010, registered Aug 31, 2010 (7 days) · Other
- B••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 21, 2008, registered Jan 23, 2009 (155 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Feb 3, 2005, registered Feb 2, 2005 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to B•••• D••••••••• L••left Sep 3, 2004, registered Oct 22, 2004 (49 days) · Other
Signals
- R••• M• B••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2024-04-23)Apr 10, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address