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•••••• L•• S•••••••

U••• I••••••••• S••••••• C••••••no RAUMSan Antonio, Tx dual registrantIAPD 5927157

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as B•••••• S•••••••

At current firm

2 y

since Oct 20, 2023

In the industry

15 y

since Jul 31, 2011 (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

U••• I••••••••• S••••••• C•••••• no RAUM current
since Oct 20, 2023 · San Antonio, Tx
E••••• J•••• national BD
Jul 25, 2013 to Jul 18, 2023 · Tempe, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 28, 2013 to Jul 9, 2013 · Chandler, Az
E••••• J•••• national BD
Aug 1, 2011 to Apr 3, 2012 · Mason City, Ia

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to U••• I••••••••• S••••••• C••••••
left Jul 18, 2023, registered Oct 20, 2023 (94 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Jul 9, 2013, registered Jul 25, 2013 (16 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 3, 2012, registered Feb 28, 2013 (331 days) · Affiliated broker-dealer or bank to wirehouse

Signals

B•••••• L•• S••••••• left E••••• J•••• for U••• I••••••••• S••••••• C•••••• (registered 2023-10-20)
Jul 18, 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: No RAUM reportedderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address