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•• G• B••••

J••• M••••• S••••••••• L••wirehouseMonroe, Ladual registrantIAPD 6396734

Feed of 09/14/2026

Also filed as Dj Banks

At current firm

2 y

since Apr 9, 2024

In the industry

10 y

since Nov 6, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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 Apr 9, 2024 · Monroe, La
E•••••• F•••••••• E•••••• independent RIA
Aug 11, 2022 to Apr 26, 2024 · Monroe, La
A••••• F•••••••• A•••••••• L•• independent RIA
Jan 12, 2022 to Aug 11, 2022 · Monroe, La
A••••••• F•••••••• A•••••••• L•• BD affiliated
Nov 6, 2020 to Dec 31, 2021 · Monroe, La
W•••• F•••• A••••••• wirehouse
Dec 4, 2018 to Nov 10, 2020 · Monroe, La
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 11, 2016 to Dec 5, 2018 · Monroe, La

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to J••• M••••• S••••••••• L••
left Apr 26, 2024, registered Apr 9, 2024 (-17 days) · RIA to wirehouse
A••••• F•••••••• A•••••••• L•• to E•••••• F•••••••• E••••••
left Aug 11, 2022, registered Aug 11, 2022 (0 days) · RIA to RIA
A••••••• F•••••••• A•••••••• L•• to A••••• F•••••••• A•••••••• L••
left Dec 31, 2021, registered Jan 12, 2022 (12 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to A••••••• F•••••••• A•••••••• L••
left Nov 10, 2020, registered Nov 6, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Dec 5, 2018, registered Dec 4, 2018 (-1 days) · Wirehouse to wirehouse

Signals

D•• G• B•••• left E•••••• F•••••••• E•••••• for J••• M••••• S••••••••• L•• (registered 2024-04-09)
Apr 26, 2024 · Advisor changed firm · fact
D•• G• B•••• left A••••• F•••••••• A•••••••• L•• for E•••••• F•••••••• E•••••• (registered 2022-08-11)
Aug 11, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address