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

J••••••• B••••• D••••

T••••• A••••••• S•••••••• I•••BD affiliatedRock Hill, Scdual registrantIAPD 4948824

Feed of 09/14/2026

Also filed as J••••••• Ruth B•••••

At current firm

4 y

since Jan 26, 2022

In the industry

21 y

since Sep 20, 2005 (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

T••••• A••••••• S•••••••• I••• BD affiliated current
since Jan 26, 2022 · Rock Hill, Sc
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Aug 18, 2018 to Jan 20, 2022 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Apr 24, 2018 to Aug 23, 2018 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Apr 12, 2010 to Feb 6, 2018 · Charlotte, Nc
U•••• F•••••••• S••••••• G••••• I••• unclassified
Oct 3, 2007 to Dec 31, 2011 · Charlotte, Nc
C••••••• A•••• M••••••••• I•• unclassified
Jun 22, 2007 to Oct 1, 2007 · Charlotte, Nc
U•••• F•••••••• S••••••• G••••• I••• unclassified
Sep 11, 2006 to Jun 21, 2007 · Charlotte, Nc
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 21, 2005 to Aug 18, 2006 · High Point, Nc

Moves

a registration end followed by a registration begin elsewhere

I••••••••• A•••••• A•••••••• L•• to T••••• A••••••• S•••••••• I•••
left Jan 20, 2022, registered Jan 26, 2022 (6 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••
left Aug 23, 2018, registered Aug 18, 2018 (-5 days) · RIA to RIA
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Dec 31, 2011, registered Apr 12, 2010 (-628 days) · Other
C••••••• A•••• M••••••••• I•• to U•••• F•••••••• S••••••• G••••• I•••
left Oct 1, 2007, registered Oct 3, 2007 (2 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to C••••••• A•••• M••••••••• I••
left Jun 21, 2007, registered Jun 22, 2007 (1 days) · Other
A••••••••• F•••••••• S•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••
left Aug 18, 2006, registered Sep 11, 2006 (24 days) · Other

Signals

J••••••• B••••• D•••• left I••••••••• A•••••• A•••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2022-01-26)
Jan 20, 2022 · a•••••• firm change · 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