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

D••• A•••• B•••••••

C••••• I••••••••• A••••••• L••BD affiliatedAthens, Tndual registrantIAPD 4903910

Feed of 09/14/2026

Also filed as D••• B•••••••

At current firm

3 y

since Jun 29, 2023

In the industry

21 y

since May 2, 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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Athens, Tn
U••• B•••••• I••••••••• I••• former
Mar 30, 2018 to Jul 23, 2021 · Portland, Or
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Apr 11, 2018 · Portland, Or
C•••• I••••••••• S••••••• C•••• former
Jun 15, 2010 to Oct 1, 2012 · Sherwood, Or
U••• B•••••• I••••••••• I••• former
Aug 11, 2009 to May 28, 2010 · Portland, Or

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to C••••• I••••••••• A••••••• L••
left Jul 23, 2021, registered Jun 29, 2023 (706 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••
left Apr 11, 2018, registered Mar 30, 2018 (-12 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
U••• B•••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left May 28, 2010, registered Jun 15, 2010 (18 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