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

B•••••• B•••••

A••••••••• F•••••••• S•••••••• L••national BDAuburn, Ca dual registrantIAPD 4348027

Feed of 09/14/2026

Also filed as B•••••• B•••••

At current firm

0 y

since Jan 26, 2026

In the industry

25 y

since Mar 27, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jan 26, 2026 · Auburn, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Dec 13, 2010 to Jan 27, 2026 · Roseville, Ca
E•••• S••••••••• L•• BD affiliated
Nov 28, 2007 to Oct 26, 2010 · Roseville, Ca
S••• B•••••••• S••••••• unclassified
May 11, 2005 to Nov 3, 2005 · North Highlands, Ca
W•••••• • R••• former
Apr 3, 2001 to May 3, 2005 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jan 27, 2026, registered Jan 26, 2026 (-1 days) · Affiliated broker-dealer or bank to another
E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
left Oct 26, 2010, registered Dec 13, 2010 (48 days) · Other
S••• B•••••••• S••••••• to E•••• S••••••••• L••
left Nov 3, 2005, registered Nov 28, 2007 (755 days) · Other
W•••••• • R••• to S••• B•••••••• S•••••••
left May 3, 2005, registered May 11, 2005 (8 days) · Other

Signals

B•••••• B••••• left M•• I•••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-01-26)
Jan 27, 2026 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address