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

R••• A•••••• B••••

M••••• S••••••wirehouseMclean, Va dual registrantIAPD 5719813

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as R••• A•••••• B••••

At current firm

1 y

since Oct 18, 2024

In the industry

16 y

since Oct 23, 2009 (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

M••••• S•••••• wirehouse current
since Oct 18, 2024 · Washington, Dc
M•• I•••••••• S•••••••• L•• BD affiliated
Nov 16, 2023 to Oct 11, 2024 · Mclean, Va
C••••••• W••••• M••••••••• I••• former
Apr 14, 2020 to Nov 29, 2023 · Alexandria, Va
S••••• W••••• A•••••••• I••• no RAUM
Jul 16, 2018 to Apr 14, 2020 · Lone Tree, Co
U••• F•••••••• P••••••• S••••••• former
Dec 12, 2013 to Jul 29, 2016 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 20, 2013 · La Jolla, Ca
C•••• I••••••••• S••••••• C•••• former
Apr 25, 2012 to Oct 1, 2012 · La Jolla, Ca
N•• E•••••• S••••••••• C••••••••• former
Mar 30, 2011 to Apr 2, 2012 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to M••••• S••••••
left Oct 11, 2024, registered Oct 18, 2024 (7 days) · Affiliated broker-dealer or bank to wirehouse
C••••••• W••••• M••••••••• I••• to M•• I•••••••• S•••••••• L••
left Nov 29, 2023, registered Nov 16, 2023 (-13 days) · RIA to affiliated broker-dealer or bank
S••••• W••••• A•••••••• I••• to C••••••• W••••• M••••••••• I•••
left Apr 14, 2020, registered Apr 14, 2020 (0 days) · Other
U••• F•••••••• P••••••• S••••••• to S••••• W••••• A•••••••• I•••
left Jul 29, 2016, registered Jul 16, 2018 (717 days) · Other
J••• M••••• S••••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Nov 20, 2013, registered Dec 12, 2013 (22 days) · Other
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
N•• E•••••• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Apr 2, 2012, registered Apr 25, 2012 (23 days) · Other

Signals

R••• A•••••• B•••• left M•• I•••••••• S•••••••• L•• for M••••• S•••••• (registered 2024-10-18)
Oct 11, 2024 · Advisor changed firm · fact
R••• A•••••• B•••• left C••••••• W••••• M••••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2023-11-16)
Nov 29, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address