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

B•••• J••• M•••••

L•• F•••••••• L••BD affiliatedAlpharetta, Gadual registrantIAPD 5112081

Certified Financial Planner

Feed of 09/14/2026

Also filed as B•••• J••• M•••••

At current firm

1 y

since Jan 13, 2025

In the industry

20 y

since Jun 26, 2006 (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

L•• F•••••••• L•• BD affiliated current
since Jan 13, 2025 · Alpharetta, Ga
K••••• A••••••• S•••••••• L•• BD affiliated
Jan 4, 2019 to Jan 14, 2025 · Johns Creek, Ga
R•••••• W••••• M••••••••• L•• former
Apr 1, 2015 to Jan 3, 2019 · Alpharetta, Ga
S•••••••• A••••••• L•• national BD
Nov 1, 2011 to Mar 16, 2015 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 2, 2010 to Oct 12, 2011 · Atlanta, Ga
C•••• I••••••••• S••••••• C•••• former
Dec 1, 2009 to Nov 9, 2010 · Charleston, Wv
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
May 15, 2008 to Mar 26, 2009 · Atlanta, Ga
M••••• S•••••• • C•• L•• unclassified
Jun 5, 2007 to Nov 27, 2007 · Atlanta, Ga
A••••••••• F•••••••• S•••••••• L•• national BD
Jul 7, 2006 to May 4, 2007 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Jan 14, 2025, registered Jan 13, 2025 (-1 days) · Affiliated broker-dealer or bank to another
R•••••• W••••• M••••••••• L•• to K••••• A••••••• S•••••••• L••
left Jan 3, 2019, registered Jan 4, 2019 (1 days) · RIA to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to R•••••• W••••• M••••••••• L••
left Mar 16, 2015, registered Apr 1, 2015 (16 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left Oct 12, 2011, registered Nov 1, 2011 (20 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 9, 2010, registered Dec 2, 2010 (23 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••
left Mar 26, 2009, registered Dec 1, 2009 (250 days) · Other
M••••• S•••••• • C•• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Nov 27, 2007, registered May 15, 2008 (170 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• • C•• L••
left May 4, 2007, registered Jun 5, 2007 (32 days) · Other

Signals

B•••• J••• M••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2025-01-13)
Jan 14, 2025 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address