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•••••• D••••••

T••••••• I••••••••• M••••••••• I•••BD affiliatedCitrus Heights, Ca dual registrantIAPD 7728818

Feed of 09/15/2026

Also filed as B•••••• James D••••••

At current firm

0 y

since Jul 10, 2026

In the industry

11 y

since Sep 1, 2015 (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

T••••••• I••••••••• M••••••••• I••• BD affiliated current
since Jul 10, 2026 · Citrus Heights, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 24, 2025 to Jul 7, 2026 · Yuba City, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 22, 2024 to Oct 22, 2025 · El Dorado Hills, Ca
E••••• J•••• national BD
Jul 20, 2023 to Sep 12, 2024 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••••• I••••••••• M••••••••• I•••
left Jul 7, 2026, registered Jul 10, 2026 (3 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 22, 2025, registered Nov 24, 2025 (33 days) · Wirehouse to wirehouse
E••••• J•••• to J••• M••••• S••••••••• L••
left Sep 12, 2024, registered Oct 22, 2024 (40 days) · Affiliated broker-dealer or bank to wirehouse

Signals

B•••••• D•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2026-07-10)
Jul 7, 2026 · Advisor changed firm · fact
B•••••• D•••••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-11-24)
Oct 22, 2025 · Advisor changed firm · fact
B•••••• D•••••• left E••••• J•••• for J••• M••••• S••••••••• L•• (registered 2024-10-22)
Sep 12, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address