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•••• A•••••••• J••••

L•• E••••••••• L••BD affiliatedVienna, Va dual registrantIAPD 6715337

Feed of 09/14/2026

At current firm

1 y

since Nov 14, 2024

In the industry

10 y

since Sep 1, 2016 (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

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Alexandria, Va
P•••• S••••••••• L•• no RAUM
Jun 20, 2024 to Nov 14, 2024 · Vienna, Va
M••••• S•••••• wirehouse
Jul 18, 2022 to Apr 2, 2024 · Washington, Dc
E•••••• C•••••• M••••••••• L•• former
Oct 21, 2019 to Sep 5, 2023 · Washington, Dc
M••••• L•• independent RIA
Jun 16, 2017 to Sep 26, 2019 · Tysons Corner, Va

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
M••••• S•••••• to P•••• S••••••••• L••
left Apr 2, 2024, registered Jun 20, 2024 (79 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Jul 18, 2022 (-414 days) · corporate re-registration, not a move
M••••• L•• to E•••••• C•••••• M••••••••• L••
left Sep 26, 2019, registered Oct 21, 2019 (25 days) · RIA to RIA

Signals

B•••• A•••••••• J•••• left M••••• S•••••• for P•••• S••••••••• L•• (registered 2024-06-20)
Apr 2, 2024 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address