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

W•••••• D••• B•••••

J••• M••••• S••••••••• L••wirehouseAustin, Tx dual registrantIAPD 6341157

Feed of 09/15/2026

Also filed as W•••••• D••• B•••••

At current firm

0 y

since Jul 16, 2026

In the industry

12 y

since Sep 3, 2014 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jul 16, 2026 · Austin, Tx
B•• F•••••••• A••••••• BD affiliated
Dec 3, 2018 to Jul 20, 2026 · Oklahoma City, Ok
E•••••••• A•••••••• L•• national BD
May 28, 2015 to Dec 13, 2018 · Oklahoma City, Ok
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 4, 2014 to Mar 20, 2015 · Oklahoma City, Ok

Moves

a registration end followed by a registration begin elsewhere

B•• F•••••••• A••••••• to J••• M••••• S••••••••• L••
left Jul 20, 2026, registered Jul 16, 2026 (-4 days) · Affiliated broker-dealer or bank to wirehouse
E•••••••• A•••••••• L•• to B•• F•••••••• A•••••••
left Dec 13, 2018, registered Dec 3, 2018 (-10 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••
left Mar 20, 2015, registered May 28, 2015 (69 days) · Wirehouse to affiliated broker-dealer or bank

Signals

W•••••• D••• B••••• left B•• F•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2026-07-16)
Jul 20, 2026 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address