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

D•••• M•••••• B••••••••

V••••••• A•••••••• I•••BD affiliatedCharlotte, Ncdual registrantIAPD 5994535

Certified Financial Planner

Feed of 09/14/2026

Also filed as D•••• B••••••••

At current firm

1 y

since Jun 27, 2025

In the industry

13 y

since Jul 15, 2013 (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

V••••••• A•••••••• I••• BD affiliated current
since Jun 27, 2025 · Charlotte, Nc
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Jun 12, 2025 · Charlotte, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
May 8, 2024 to Mar 31, 2025 · Palm Beach Gardens, Fl
E••••• J•••• national BD
Jan 13, 2023 to Apr 8, 2024 · Cedar Rapids, Ia
F••••••• P••••••• A•• W•••••••• A••••••• former
May 11, 2021 to Oct 16, 2022 · Jacksonville, Fl
C•••••• C••••• G••••• I••• no RAUM
Jun 4, 2020 to Apr 13, 2021 · San Antonio, Tx
H••• W••••• A••••••• independent RIA
Jan 2, 2020 to Apr 6, 2020 · Erie, Pa
W•••• F•••• A••••••• wirehouse
Sep 24, 2019 to Dec 19, 2019 · Venice, Fl
E••••• J•••• national BD
Sep 10, 2018 to Aug 15, 2019 · Venice, Fl
S••••••• F•••••••• C•••• independent RIA
Feb 9, 2018 to Jun 15, 2018 · Sarasota, Fl
C•••••• S••••• • C••• I••• national BD
May 8, 2017 to Jan 3, 2018 · Phoenix, Az
R••••• W• B•••• • C•• I••••••••• mixed wealth
Aug 29, 2016 to Mar 29, 2017 · Cedar Rapids, Ia
E••••• J•••• national BD
Jul 16, 2013 to Aug 16, 2016 · Cedar Rapids, Ia

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to V••••••• A•••••••• I•••
left Jun 12, 2025, registered Jun 27, 2025 (15 days) · Affiliated broker-dealer or bank to another · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 8, 2024, registered May 8, 2024 (30 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••
left Oct 16, 2022, registered Jan 13, 2023 (89 days) · Affiliated broker-dealer or bank to another
C•••••• C••••• G••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 13, 2021, registered May 11, 2021 (28 days) · Other
H••• W••••• A••••••• to C•••••• C••••• G••••• I•••
left Apr 6, 2020, registered Jun 4, 2020 (59 days) · Other
W•••• F•••• A••••••• to H••• W••••• A•••••••
left Dec 19, 2019, registered Jan 2, 2020 (14 days) · Wirehouse to independent RIA
E••••• J•••• to W•••• F•••• A•••••••
left Aug 15, 2019, registered Sep 24, 2019 (40 days) · Affiliated broker-dealer or bank to wirehouse
S••••••• F•••••••• C•••• to E••••• J••••
left Jun 15, 2018, registered Sep 10, 2018 (87 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to S••••••• F•••••••• C••••
left Jan 3, 2018, registered Feb 9, 2018 (37 days) · Other
R••••• W• B•••• • C•• I••••••••• to C•••••• S••••• • C••• I•••
left Mar 29, 2017, registered May 8, 2017 (40 days) · Other
E••••• J•••• to R••••• W• B•••• • C•• I•••••••••
left Aug 16, 2016, registered Aug 29, 2016 (13 days) · Other

Signals

D•••• M•••••• B•••••••• left S•••••••• A••••••• L•• for V••••••• A•••••••• I••• (registered 2025-06-27)
Jun 12, 2025 · Advisor changed firm · fact
D•••• M•••••• B•••••••• left E••••• J•••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-08)
Apr 8, 2024 · Advisor changed firm · fact
D•••• M•••••• B•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••• J•••• (registered 2023-01-13)
Oct 16, 2022 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address