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•••• J•• C••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedHouston, Tx dual registrantIAPD 1242090

Feed of 09/15/2026

Also filed as B•••• J•• C••••

At current firm

4 y

since Apr 11, 2022

In the industry

42 y

since Mar 2, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Apr 11, 2022 · Houston, Tx
V•••• F•••••••• A•••••••• I••• BD affiliated
Mar 1, 2018 to Apr 20, 2022 · Houston, Tx
E•••••• C•••••• M••••••••• L•• former
Sep 7, 2017 to Mar 2, 2018 · Houston, Tx
N••• F•••••••• G••••• I••• former
May 20, 2014 to Aug 29, 2016 · Houston, Tx
B•• F•••••••• A••••••• BD affiliated
May 29, 2013 to Jun 2, 2014 · Houston, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 30, 2012 to May 28, 2013 · Houston, Tx
C•••• I••••••••• M••••••••• L•• unclassified
Jun 3, 2003 to Jun 29, 2006 · Houston, Tx
C•••••• S••••• • C••• I••• national BD
Oct 22, 1991 to Dec 12, 2002 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

V•••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 20, 2022, registered Apr 11, 2022 (-9 days) · Affiliated broker-dealer or bank to another
E•••••• C•••••• M••••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Mar 2, 2018, registered Mar 1, 2018 (-1 days) · Other
N••• F•••••••• G••••• I••• to E•••••• C•••••• M••••••••• L••
left Aug 29, 2016, registered Sep 7, 2017 (374 days) · Other
B•• F•••••••• A••••••• to N••• F•••••••• G••••• I•••
left Jun 2, 2014, registered May 20, 2014 (-13 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•• F•••••••• A•••••••
left May 28, 2013, registered May 29, 2013 (1 days) · Other
C•••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 29, 2006, registered Nov 30, 2012 (2346 days) · Other
C•••••• S••••• • C••• I••• to C•••• I••••••••• M••••••••• L••
left Dec 12, 2002, registered Jun 3, 2003 (173 days) · Other

Signals

B•••• J•• C•••• left V•••• F•••••••• A•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-04-11)
Apr 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address