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

S••••• B••••••

C••••• I••••••••• A••••••• L••BD affiliatedBethesda, Mddual registrantIAPD 5167643

Feed of 09/14/2026

Also filed as S••••• B••••••

At current firm

2 y

since Oct 11, 2023

In the industry

19 y

since Dec 18, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 Oct 11, 2023 · Bethesda, Md
W•••• F•••• A••••••• wirehouse
Jul 17, 2020 to Mar 24, 2022 · Mclean, Va
C••• B•••••••• S•••••••• I••• former
Nov 26, 2018 to Jun 30, 2020 · Mclean, Va
W•••• F•••• A••••••• wirehouse
Nov 29, 2016 to Nov 9, 2018 · Washington, Dc
A••••••• F•••••••• A•••••••• L•• BD affiliated
Jan 22, 2013 to Jun 13, 2016 · Mclean, Va
W•••• F•••• A••••••• wirehouse
Apr 4, 2008 to Aug 4, 2011 · Oakton, Va

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••
left Mar 24, 2022, registered Oct 11, 2023 (566 days) · Wirehouse to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jun 30, 2020, registered Jul 17, 2020 (17 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••
left Nov 9, 2018, registered Nov 26, 2018 (17 days) · Wirehouse to independent RIA
A••••••• F•••••••• A•••••••• L•• to W•••• F•••• A•••••••
left Jun 13, 2016, registered Nov 29, 2016 (169 days) · Other
W•••• F•••• A••••••• to A••••••• F•••••••• A•••••••• L••
left Aug 4, 2011, registered Jan 22, 2013 (537 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

Signals

S••••• B•••••• left W•••• F•••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-10-11)
Mar 24, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address