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

D•••• B••••

R•••••• J•••• • A••••••••• I•••national BDHallandale Beach, Fldual registrantIAPD 4051398

Feed of 09/14/2026

At current firm

2 y

since Nov 10, 2023

In the industry

26 y

since Nov 29, 1999 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Nov 10, 2023 · Hallandale Beach, Fl
M••••• S•••••• wirehouse
Mar 31, 2014 to Nov 15, 2023 · Aventura, Fl
U•• F•••••••• S••••••• I••• wirehouse
Jan 1, 2010 to Mar 31, 2014 · Miami, Fl
U•• I••••••••• I••• unclassified
Mar 14, 2005 to Jan 1, 2010 · Miami, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 29, 1999 to Apr 4, 2005 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Nov 15, 2023, registered Nov 10, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Mar 31, 2014, registered Mar 31, 2014 (0 days) · Wirehouse to wirehouse
U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••
left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to U•• I••••••••• I•••
left Apr 4, 2005, registered Mar 14, 2005 (-21 days) · Other

Signals

D•••• B•••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-11-10)
Nov 15, 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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address