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

M••• A••• L•••••••

A•••• C•••••• C••••BD affiliatedDallas, Tx dual registrantIAPD 1678285

Feed of 09/15/2026

At current firm

2 y

since Apr 18, 2024

In the industry

39 y

since Jul 17, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

A•••• C•••••• C•••• BD affiliated current
since Apr 18, 2024 · Dallas, Tx
B• R•••• W••••• A•••••••• I••• BD affiliated
Jul 28, 2022 to Apr 12, 2024 · Miami, Fl
B• R•••• W••••• M••••••••• former
Apr 21, 2021 to Dec 31, 2022 · Dallas, Tx
M••••• S•••••• wirehouse
Nov 21, 2011 to May 10, 2021 · Dallas, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 21, 1987 to Nov 23, 2011 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

B• R•••• W••••• A•••••••• I••• to A•••• C•••••• C••••
left Apr 12, 2024, registered Apr 18, 2024 (6 days) · Affiliated broker-dealer or bank to another
B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••
left Dec 31, 2022, registered Jul 28, 2022 (-156 days) · corporate re-registration, not a move
M••••• S•••••• to B• R•••• W••••• M•••••••••
left May 10, 2021, registered Apr 21, 2021 (-19 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Nov 23, 2011, registered Nov 21, 2011 (-2 days) · Wirehouse to wirehouse

Signals

M••• A••• L••••••• left B• R•••• W••••• A•••••••• I••• for A•••• C•••••• C•••• (registered 2024-04-18)
Apr 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address