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

M•••••• B•••• E••••

E•••••• A••••••• G••••• L••BD affiliatedSummerville, Sc dual registrantIAPD 4878931

Feed of 09/14/2026

Also filed as M•••••• B•••• E••••

At current firm

2 y

since Apr 9, 2024

In the industry

21 y

since Jan 14, 2005 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Apr 9, 2024 · Greenwood Village, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 6, 2023 to Aug 8, 2023 · Oakdale, Mn
E•••••• C•••••• M••••••••• L•• former
Mar 4, 2021 to Oct 25, 2022 · Chicago, Il
A••••• A•• P••••••• S••••••• BD affiliated
Dec 2, 2016 to Nov 13, 2020 · Chicago, Il
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 14, 2016 to Nov 28, 2016 · Chicago, Il
T• A••••••••• I••• former
Jul 14, 2016 to Nov 28, 2016 · Chicago, Il
E•••••• C•••••• M••••••••• L•• former
May 15, 2007 to Jun 24, 2016 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••
left Aug 8, 2023, registered Apr 9, 2024 (245 days) · Affiliated broker-dealer or bank to another
E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 25, 2022, registered Apr 6, 2023 (163 days) · RIA to affiliated broker-dealer or bank · moved with a team
A••••• A•• P••••••• S••••••• to E•••••• C•••••• M••••••••• L••
left Nov 13, 2020, registered Mar 4, 2021 (111 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 28, 2016, registered Jul 14, 2016 (-137 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 28, 2016, registered Jul 14, 2016 (-137 days) · Other
E•••••• C•••••• M••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 24, 2016, registered Jul 14, 2016 (20 days) · Other

Signals

M•••••• B•••• E•••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• A••••••• G••••• L•• (registered 2024-04-09)
Aug 8, 2023 · Advisor changed firm · fact
M•••••• B•••• E•••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-06)
Oct 25, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address