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

A••••• L• B•••

J••• M••••• S••••••••• L••wirehouseHuntsville, Al dual registrantIAPD 4162008

Feed of 09/14/2026

Also filed as A••••• L• B•••

At current firm

2 y

since Feb 22, 2024

In the industry

28 y

since Jan 1, 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

J••• M••••• S••••••••• L•• wirehouse current
since Feb 22, 2024 · Madison, Al
P•• W••••• M••••••••• BD affiliated
Nov 24, 2021 to Feb 14, 2024 · Hunstville, Al
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 3, 2018 to Dec 3, 2021 · Huntsville, Al
F•••• C•••••• A••••••• S••••••• BD affiliated
Dec 15, 2015 to Nov 29, 2018 · Fort Worth, Tx
F•••• C•••••• F•••••••• P•••••••• I••• former
Nov 15, 2005 to Dec 15, 2015 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to J••• M••••• S••••••••• L••
left Feb 14, 2024, registered Feb 22, 2024 (8 days) · Affiliated broker-dealer or bank to wirehouse
C•••••••• I••••••••• R••••••• A•••••••• I••• to P•• W••••• M•••••••••
left Dec 3, 2021, registered Nov 24, 2021 (-9 days) · Affiliated broker-dealer or bank to another
F•••• C•••••• A••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 29, 2018, registered Dec 3, 2018 (4 days) · Affiliated broker-dealer or bank to another
F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••
left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move

Signals

A••••• L• B••• left P•• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2024-02-22)
Feb 14, 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