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

A•• E• S••••

B•••••••• I••••••••• G••••independent RIAPhoenix, Az IA-onlyIAPD 6746192

Certified Financial Planner

Feed of 09/15/2026

Also filed as A•• E• S••••

At current firm

1 y

since Sep 11, 2025

In the industry

10 y

since Feb 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

B•••••••• I••••••••• G•••• independent RIA current
since Sep 11, 2025 · Phoenix, Az
B•••••• I••••••••• A••••••• former
Oct 16, 2023 to Dec 31, 2024 · Tampa, Fl
B•••••• I••••••••• A••••••• former
Oct 16, 2023 to May 22, 2025 · Scottsdale, Az
B•••••• L••• A••••••• S•••••••• I••• BD affiliated
Oct 18, 2022 to Aug 10, 2023 · Clearwater, Fl
M••••• S•••••• wirehouse
Sep 3, 2019 to Oct 14, 2022 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

B•••••• I••••••••• A••••••• to B•••••••• I••••••••• G••••
left May 22, 2025, registered Sep 11, 2025 (112 days) · RIA to RIA
B•••••• L••• A••••••• S•••••••• I••• to B•••••• I••••••••• A•••••••
left Aug 10, 2023, registered Oct 16, 2023 (67 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to B•••••• L••• A••••••• S•••••••• I•••
left Oct 14, 2022, registered Oct 18, 2022 (4 days) · Wirehouse to affiliated broker-dealer or bank

Signals

A•• E• S•••• left B•••••• I••••••••• A••••••• for B•••••••• I••••••••• G•••• (registered 2025-09-11)
May 22, 2025 · Advisor changed firm · fact
A•• E• S•••• left B•••••• L••• A••••••• S•••••••• I••• for B•••••• I••••••••• A••••••• (registered 2023-10-16)
Aug 10, 2023 · Advisor changed firm · fact
A•• E• S•••• left M••••• S•••••• for B•••••• L••• A••••••• S•••••••• I••• (registered 2022-10-18)
Oct 14, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address