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.
Registered advisor
Ralph Milburn Jones
Feed of 09/14/2026
Also filed as Ralph Milburn Jones
At current firm
16 y
since Oct 23, 2009
In the industry
38 y
since Feb 25, 1988 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Oppenheimer & Co. Inc. BD affiliated currentsince Oct 23, 2009 · Denver, Co
- UBS Financial Services Inc. wirehouseAug 12, 2006 to Oct 28, 2009 · Denver, Co
- Piper Sandler & Co. institutionalMay 27, 2005 to Aug 12, 2006 · Denver, Co
- RBC Capital Markets, LLC national BDJan 1, 1999 to Jun 9, 2005 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- UBS Financial Services Inc. to Oppenheimer & Co. Inc.left Oct 28, 2009, registered Oct 23, 2009 (-5 days) · Other
- Piper Sandler & Co. to UBS Financial Services Inc.left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- RBC Capital Markets, LLC to Piper Sandler & Co.left Jun 9, 2005, registered May 27, 2005 (-13 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
No dated event on this person.
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address