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

D•••••• O•••• E••••••

L•• F•••••••• L••BD affiliatedHouston, Txdual registrantIAPD 1347280

Feed of 09/14/2026

At current firm

2 y

since Sep 19, 2024

In the industry

41 y

since Mar 25, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Sep 19, 2024 · Houston, Tx
S•••••• N••••••• • C••••••• I••••••••• national BD
Jan 28, 2011 to Sep 26, 2024 · Houston, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Feb 1, 2011 · Houston, Tx
A••••••••• A•••••• S•••••••• I••• unclassified
Jul 16, 2009 to Oct 5, 2009 · Sugar Land, Tx
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Apr 20, 2009 · Sugar Land, Tx
A• G• E•••••• • S•••• I••• unclassified
Nov 15, 2002 to Jan 1, 2008 · Sugar Land, Tx

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••
left Sep 26, 2024, registered Sep 19, 2024 (-7 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Feb 1, 2011, registered Jan 28, 2011 (-4 days) · Affiliated broker-dealer or bank to another
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to A••••••••• A•••••• S•••••••• I•••
left Apr 20, 2009, registered Jul 16, 2009 (87 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

D•••••• O•••• E•••••• left S•••••• N••••••• • C••••••• I••••••••• for L•• F•••••••• L•• (registered 2024-09-19)
Sep 26, 2024 · a•••••• firm change · 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: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address