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•••• A••••• B•••

W•••• F•••• A•••••••wirehouseLewisville, Nc dual registrantIAPD 5626731

Feed of 09/15/2026

Also filed as B•••• A B•••

At current firm

3 y

since May 11, 2023

In the industry

17 y

since Feb 12, 2009 (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

W•••• F•••• A••••••• wirehouse current
since May 11, 2023 · Wilmington, Nc
E••••• J•••• national BD
Jan 20, 2023 to Apr 13, 2023 · Bermuda Run, Nc
W•••• F•••• A••••••• wirehouse
Jun 24, 2019 to Jan 26, 2023 · Charlotte, Nc
E••••• J•••• national BD
Dec 21, 2017 to Apr 12, 2019 · Bermuda Run, Nc
P•••• S••••••••• L•• no RAUM
Nov 16, 2015 to Aug 21, 2017 · Englewood, Co
H•••••• T••••••• • K•••• L•• independent RIA
Apr 24, 2014 to Dec 3, 2014 · Holladay, Ut
M•• I•••••••• S•••••••• L•• BD affiliated
Jul 12, 2013 to Jan 13, 2014 · Lehi, Ut
S••••••• F•••••••• S•••••••• I••• former
Mar 10, 2009 to Jun 5, 2013 · Orem, Ut

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to W•••• F•••• A•••••••
left Apr 13, 2023, registered May 11, 2023 (28 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to E••••• J••••
left Jan 26, 2023, registered Jan 20, 2023 (-6 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to W•••• F•••• A•••••••
left Apr 12, 2019, registered Jun 24, 2019 (73 days) · Affiliated broker-dealer or bank to wirehouse
P•••• S••••••••• L•• to E••••• J••••
left Aug 21, 2017, registered Dec 21, 2017 (122 days) · Other
H•••••• T••••••• • K•••• L•• to P•••• S••••••••• L••
left Dec 3, 2014, registered Nov 16, 2015 (348 days) · Other
M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••
left Jan 13, 2014, registered Apr 24, 2014 (101 days) · Other
S••••••• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Jun 5, 2013, registered Jul 12, 2013 (37 days) · Other

Signals

B•••• A••••• B••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2023-05-11)
Apr 13, 2023 · Advisor changed firm · fact
B•••• A••••• B••• left W•••• F•••• A••••••• for E••••• J•••• (registered 2023-01-20)
Jan 26, 2023 · 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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address