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

J••• D•••••• B•••••

M•••• F•••••••• A•••••••BD affiliatedKnoxville, Tn dual registrantIAPD 3214809

Certified Financial Planner

Feed of 09/15/2026

Also filed as Doug B•••••

At current firm

2 y

since Nov 7, 2023

In the industry

27 y

since Apr 28, 1999 (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

M•••• F•••••••• A••••••• BD affiliated current
since Nov 7, 2023 · Knoxville, Tn
S••••• O•• S••••••••• I••• BD affiliated
May 28, 2021 to Nov 3, 2023 · Jackson, Tn
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Sep 4, 2019 to May 24, 2021 · Fairfield, Ia
L•••••••• T••••••• A•••• M••••••••• I•• other
Jan 10, 2017 to Jul 2, 2019 · Knoxville, Tn
S•• A•••••••• I••• former
Aug 18, 2006 to Dec 31, 2018 · Knoxville, Tn
L•••••• S••••••••• L•• unclassified
Aug 26, 2003 to Aug 11, 2006 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

S••••• O•• S••••••••• I••• to M•••• F•••••••• A•••••••
left Nov 3, 2023, registered Nov 7, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• O•• S••••••••• I•••
left May 24, 2021, registered May 28, 2021 (4 days) · Affiliated broker-dealer or bank to another
L•••••••• T••••••• A•••• M••••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jul 2, 2019, registered Sep 4, 2019 (64 days) · RIA to affiliated broker-dealer or bank
S•• A•••••••• I••• to L•••••••• T••••••• A•••• M••••••••• I••
left Dec 31, 2018, registered Jan 10, 2017 (-720 days) · Other
L•••••• S••••••••• L•• to S•• A•••••••• I•••
left Aug 11, 2006, registered Aug 18, 2006 (7 days) · Other

Signals

J••• D•••••• B••••• left S••••• O•• S••••••••• I••• for M•••• F•••••••• A••••••• (registered 2023-11-07)
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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address