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.

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Registered advisor

B••••• M•••••

L•• F•••••••• L••BD affiliatedLarkspur, Cadual registrantIAPD 4797648

Feed of 09/14/2026

At current firm

6 y

since May 14, 2020

In the industry

21 y

since Sep 27, 2004 (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

L•• F•••••••• L•• BD affiliated current
since May 14, 2020 · Larkspur, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Jul 17, 2014 to May 29, 2020 · San Francisco, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 18, 2013 · Green Valley, Az
W•••• F•••• I••••••••• L•• unclassified
Oct 24, 2008 to Jan 3, 2011 · Tucson, Az
C•••• I••••••••• S••••••• C•••• former
Aug 22, 2005 to Oct 7, 2008 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• A•••••••• L•• to L•• F•••••••• L••
left May 29, 2020, registered May 14, 2020 (-15 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••
left Apr 18, 2013, registered Jul 17, 2014 (455 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••
left Oct 7, 2008, registered Oct 24, 2008 (17 days) · Other

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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address