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•••• T••••• M••••

A• W••••• M••••••••• L••BD affiliatedLynchburg, Va IA-onlyIAPD 5874556

Feed of 09/15/2026

At current firm

2 y

since Jan 31, 2024

In the industry

15 y

since May 13, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A• W••••• M••••••••• L•• BD affiliated current
since Jan 31, 2024 · Jackson, Oh
R•••• I••••••••• A••••••• L•• BD affiliated
Dec 5, 2023 to Feb 5, 2024 · Roanoke, Va
S•••••• P•••••••• L•• independent RIA
Nov 4, 2019 to Dec 5, 2023 · O••••, Ne
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
May 19, 2016 to Feb 28, 2017 · Roanoke, Va

Moves

a registration end followed by a registration begin elsewhere

R•••• I••••••••• A••••••• L•• to A• W••••• M••••••••• L••
left Feb 5, 2024, registered Jan 31, 2024 (-5 days) · Affiliated broker-dealer or bank to another
S•••••• P•••••••• L•• to R•••• I••••••••• A••••••• L••
left Dec 5, 2023, registered Dec 5, 2023 (0 days) · RIA to affiliated broker-dealer or bank
M••••• O• O•••• I••••••• S•••••••• I••• to S•••••• P•••••••• L••
left Feb 28, 2017, registered Nov 4, 2019 (979 days) · Other

Signals

B•••• T••••• M•••• left R•••• I••••••••• A••••••• L•• for A• W••••• M••••••••• L•• (registered 2024-01-31)
Feb 5, 2024 · Advisor changed firm · fact
B•••• T••••• M•••• left S•••••• P•••••••• L•• for R•••• I••••••••• A••••••• L•• (registered 2023-12-05)
Dec 5, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address