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•••• F•••••••• G•••••

O•••• W•••••• I•••BD affiliatedProvidence Forge, Va dual registrantIAPD 4522330

Feed of 09/15/2026

At current firm

2 y

since Jun 14, 2024

In the industry

24 y

since May 30, 2002 (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

O•••• W•••••• I••• BD affiliated current
since Jun 14, 2024 · Providence Forge, Va
S••••••••• A•••••• A•••••••• I••• former
Aug 25, 2017 to Jun 14, 2024 · Glen Allen, Va
N••• F•••••••• G••••• I••• former
Sep 30, 2015 to Sep 1, 2017 · Glen Allen, Va
O•••• I••••••••• I••• BD affiliated
Feb 10, 2015 to Aug 31, 2015 · Richmond, Va
N••• F•••••••• G••••• I••• former
Jan 14, 2013 to Feb 12, 2015 · Glen Allen, Va
S••••• A••• A•••• M••••••••• I••• former
Dec 9, 2011 to Jan 15, 2013 · Birmingham, Al
A••••••• • S••••••••• I••••••••• former
May 26, 2006 to Dec 9, 2011 · Richmond, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 3, 2005 to Jun 1, 2006 · Richmond, Va
A••••••••• F•••••••• S•••••••• L•• national BD
May 31, 2002 to Jan 11, 2005 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
N••• F•••••••• G••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Sep 1, 2017, registered Aug 25, 2017 (-7 days) · Other · moved with a team
O•••• I••••••••• I••• to N••• F•••••••• G••••• I•••
left Aug 31, 2015, registered Sep 30, 2015 (30 days) · Other
N••• F•••••••• G••••• I••• to O•••• I••••••••• I•••
left Feb 12, 2015, registered Feb 10, 2015 (-2 days) · Other
S••••• A••• A•••• M••••••••• I••• to N••• F•••••••• G••••• I•••
left Jan 15, 2013, registered Jan 14, 2013 (-1 days) · Other
A••••••• • S••••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••
left Dec 9, 2011, registered Dec 9, 2011 (0 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• • S••••••••• I•••••••••
left Jun 1, 2006, registered May 26, 2006 (-6 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 11, 2005, registered Jan 3, 2005 (-8 days) · Affiliated broker-dealer or bank to wirehouse

Signals

No dated event on this person.

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