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

R••••• D• B•••••

O••••••••• • C•• I•••BD affiliatedEdwardsville, Il dual registrantIAPD 4895077

Feed of 09/14/2026

Also filed as Rick B•••••

At current firm

0 y

since Jan 12, 2026

In the industry

15 y

since May 19, 2011 (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••••••••• • C•• I••• BD affiliated current
since Jan 12, 2026 · E•••••Sville, Il
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Jan 21, 2026 · Swansea, Il
P•••• S••••••••• L•• no RAUM
Oct 25, 2022 to Nov 14, 2024 · Swansea, Il
L•• F•••••••• L•• BD affiliated
Oct 9, 2019 to Oct 28, 2022 · Glen Carbon, Il
E••••• J•••• national BD
Feb 15, 2019 to Oct 1, 2019 · Vancouver, Wa
F••••• I••••••••• independent RIA
May 25, 2017 to Feb 15, 2019 · Plano, Tx
S•••••••• I••••••••• M••••••••• former
Mar 17, 2016 to May 15, 2017 · Saint Louis, Mo
E••••• J•••• national BD
May 23, 2011 to Mar 8, 2016 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to O••••••••• • C•• I•••
left Jan 21, 2026, registered Jan 12, 2026 (-9 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to P•••• S••••••••• L••
left Oct 28, 2022, registered Oct 25, 2022 (-3 days) · RIA to affiliated broker-dealer or bank
E••••• J•••• to L•• F•••••••• L••
left Oct 1, 2019, registered Oct 9, 2019 (8 days) · Affiliated broker-dealer or bank to another
F••••• I••••••••• to E••••• J••••
left Feb 15, 2019, registered Feb 15, 2019 (0 days) · RIA to affiliated broker-dealer or bank
S•••••••• I••••••••• M••••••••• to F••••• I•••••••••
left May 15, 2017, registered May 25, 2017 (10 days) · Other · moved with a team
E••••• J•••• to S•••••••• I••••••••• M•••••••••
left Mar 8, 2016, registered Mar 17, 2016 (9 days) · Other

Signals

R••••• D• B••••• left L•• E••••••••• L•• for O••••••••• • C•• I••• (registered 2026-01-12)
Jan 21, 2026 · Advisor changed firm · fact
R••••• D• B••••• left L•• F•••••••• L•• for P•••• S••••••••• L•• (registered 2022-10-25)
Oct 28, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address