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•••• M•••••••

O•••• W•••••• I•••BD affiliatedShrewsbury, Njdual registrantIAPD 4567198

Feed of 09/14/2026

Also filed as B•••• Kenneth M•••••••

At current firm

2 y

since Jan 29, 2024

In the industry

20 y

since Feb 9, 2006 (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 Jan 29, 2024 · Shrewsbury, Nj
W•••• F•••• A••••••• wirehouse
Nov 4, 2022 to Feb 6, 2024 · Rosemary Beach, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 7, 2011 to Nov 21, 2022 · Princeton, Nj
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 4, 2011 · New York, Ny
M••••• S•••••• • C•• L•• unclassified
Jan 7, 2009 to Jun 1, 2009 · New York, Ny
O••••••••• • C••••• L•• independent RIA
Mar 25, 2008 to Oct 8, 2008 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 10, 2006 to Mar 10, 2008 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to O•••• W•••••• I•••
left Feb 6, 2024, registered Jan 29, 2024 (-8 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Nov 21, 2022, registered Nov 4, 2022 (-17 days) · Wirehouse to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 4, 2011, registered Feb 7, 2011 (3 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
O••••••••• • C••••• L•• to M••••• S•••••• • C•• L••
left Oct 8, 2008, registered Jan 7, 2009 (91 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C••••• L••
left Mar 10, 2008, registered Mar 25, 2008 (15 days) · Other

Signals

B•••• M••••••• left W•••• F•••• A••••••• for O•••• W•••••• I••• (registered 2024-01-29)
Feb 6, 2024 · Advisor changed firm · fact
B•••• M••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2022-11-04)
Nov 21, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address