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••••• B••••••• B•••••

L•• F•••••••• L••BD affiliatedMiddletown, Md dual registrantIAPD 4234703

Feed of 09/14/2026

At current firm

1 y

since Feb 10, 2025

In the industry

25 y

since Jan 11, 2001 (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

L•• F•••••••• L•• BD affiliated current
since Feb 10, 2025 · San Diego, Ca
U••••• B•••••••• S••••••• I•• BD affiliated
Jul 27, 2012 to Oct 16, 2024 · Bethesda, Md
C•••••• O•• F•••••••• A••••••• L•• unclassified
Apr 26, 2010 to Dec 9, 2011 · Melville, Ny
C•••• C•••• F•••••••• S••••••• unclassified
Sep 9, 2005 to May 7, 2010 · Bethesda, Md

Moves

a registration end followed by a registration begin elsewhere

U••••• B•••••••• S••••••• I•• to L•• F•••••••• L••
left Oct 16, 2024, registered Feb 10, 2025 (117 days) · Affiliated broker-dealer or bank to another
C•••••• O•• F•••••••• A••••••• L•• to U••••• B•••••••• S••••••• I••
left Dec 9, 2011, registered Jul 27, 2012 (231 days) · Other
C•••• C•••• F•••••••• S••••••• to C•••••• O•• F•••••••• A••••••• L••
left May 7, 2010, registered Apr 26, 2010 (-11 days) · corporate re-registration, not a move

Signals

R••••• B••••••• B••••• left U••••• B•••••••• S••••••• I•• for L•• F•••••••• L•• (registered 2025-02-10)
Oct 16, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address