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

J•••• D••••• B••••••

M••••• S••••••wirehouseRolling Hills Estates, Cadual registrantIAPD 5950024

Feed of 09/14/2026

Also filed as Jim D B••••••

At current firm

1 y

since Aug 15, 2025

In the industry

14 y

since Oct 18, 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

M••••• S•••••• wirehouse current
since Aug 15, 2025 · Rolling Hills Estates, Ca
R•• C•••••• M••••••• L•• national BD
Oct 19, 2020 to Aug 22, 2025 · Beverly Hills, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 29, 2016 to Oct 20, 2020 · Rolling Hills Estates, Ca
M••••• S•••••• wirehouse
Apr 17, 2013 to Aug 16, 2016 · Rolling Hills Estates, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 19, 2011 to Apr 18, 2013 · El Segundo, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to M••••• S••••••
left Aug 22, 2025, registered Aug 15, 2025 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••
left Oct 20, 2020, registered Oct 19, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 16, 2016, registered Jul 29, 2016 (-18 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Apr 18, 2013, registered Apr 17, 2013 (-1 days) · Wirehouse to wirehouse

Signals

J•••• D••••• B•••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2025-08-15)
Aug 22, 2025 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address