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••••••• M•••••• B••••••••

B•••••••••independent RIASouthlake, Tx IA-onlyIAPD 4517136

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Apr 23, 2024

In the industry

24 y

since May 9, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••••••• independent RIA current
since Apr 23, 2024 · Southlake, Tx
C•••••• S••••• • C••• I••• national BD
May 15, 2020 to May 6, 2024 · Richfield, Oh
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Apr 15, 2020 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 12, 2012 to Jul 13, 2018 · Millburn, Nj

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to B•••••••••
left May 6, 2024, registered Apr 23, 2024 (-13 days) · Affiliated broker-dealer or bank to independent RIA
F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Apr 15, 2020, registered May 15, 2020 (30 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

J••••••• M•••••• B•••••••• left C•••••• S••••• • C••• I••• for Bakeravenue (registered 2024-04-23)
May 6, 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: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address