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••••

U••••• B•••••••• S••••••• I••BD affiliatedGlen Allen, Va dual registrantIAPD 4120968

Feed of 09/15/2026

At current firm

4 y

since Mar 16, 2022

In the industry

26 y

since Jan 27, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••••• B•••••••• S••••••• I•• BD affiliated current
since Mar 16, 2022 · Glen Allen, Va
P•••• S••••••••• L•• no RAUM
Oct 9, 2019 to Mar 22, 2022 · Glen Allen, Va
S••••••• F•••••••• S•••••••• I••• former
May 24, 2017 to Oct 7, 2019 · Midlothian, Va
N••••••••• S••••••••• L•• no RAUM
Feb 19, 2015 to Apr 24, 2017 · Midlothian, Va
N•• E•••••• S••••••••• C••••••••• former
Mar 8, 2001 to Aug 20, 2002 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to U••••• B•••••••• S••••••• I••
left Mar 22, 2022, registered Mar 16, 2022 (-6 days) · Affiliated broker-dealer or bank to another
S••••••• F•••••••• S•••••••• I••• to P•••• S••••••••• L••
left Oct 7, 2019, registered Oct 9, 2019 (2 days) · Affiliated broker-dealer or bank to another
N••••••••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Apr 24, 2017, registered May 24, 2017 (30 days) · Other
N•• E•••••• S••••••••• C••••••••• to N••••••••• S••••••••• L••
left Aug 20, 2002, registered Feb 19, 2015 (4566 days) · Other

Signals

J••• D•••• B•••• left P•••• S••••••••• L•• for U••••• B•••••••• S••••••• I•• (registered 2022-03-16)
Mar 22, 2022 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address