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

G••••• B•••••• M••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 4513623

Feed of 09/15/2026

Also filed as Brad M••••

At current firm

3 y

since Nov 30, 2022

In the industry

24 y

since Apr 26, 2002 (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

L•• F•••••••• L•• BD affiliated current
since Nov 30, 2022 · Somerville, Tn
O•••• I••••••••• I••• BD affiliated
Dec 2, 2013 to Nov 30, 2022 · Memphis, Tn
B••••••••• I••••••••• S•••••••• I••• former
May 13, 2008 to Dec 2, 2013 · Memphis, Tn
M••••• K••••• • C••••••• L•• former
Jul 29, 2004 to May 6, 2008 · Memphis, Tn
U•••• P••••••• I••••••••• A•••••••• I••• unclassified
Nov 21, 2003 to Aug 5, 2004 · Olive Branch, Ms

Moves

a registration end followed by a registration begin elsewhere

O•••• I••••••••• I••• to L•• F•••••••• L••
left Nov 30, 2022, registered Nov 30, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
B••••••••• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••
left Dec 2, 2013, registered Dec 2, 2013 (0 days) · Other
M••••• K••••• • C••••••• L•• to B••••••••• I••••••••• S•••••••• I•••
left May 6, 2008, registered May 13, 2008 (7 days) · Other
U•••• P••••••• I••••••••• A•••••••• I••• to M••••• K••••• • C••••••• L••
left Aug 5, 2004, registered Jul 29, 2004 (-7 days) · corporate re-registration, not a move

Signals

G••••• B•••••• M•••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-30)
Nov 30, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address