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

R••••• N••• M•••••

C•••••• A••••••• S•••••••• L••independent RIADallas, Tx dual registrantIAPD 1789178

Feed of 09/15/2026

Also filed as Robert N Maxson

At current firm

1 y

since Oct 13, 2024

In the industry

38 y

since Mar 11, 1988 (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

A•••• • A••••••• G••••• P••••••• independent RIA current
since Jun 6, 2025 · Holmdel, Nj
C•••••• A••••••• S•••••••• L•• independent RIA current
since Oct 13, 2024 · Belmont, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 5, 2018 to Jul 29, 2024 · Charlotte, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 8, 2016 to Dec 3, 2018 · Charlotte, Nc
T• A••••••••• I••• former
Apr 7, 2016 to Dec 3, 2018 · Charlotte, Nc
U•• F•••••••• S••••••• I••• wirehouse
Nov 29, 2012 to Aug 6, 2014 · Charlotte, Nc
M••••• S•••••• D• I••• unclassified
May 13, 1999 to Aug 29, 2005 · Beachwood, Oh

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• A••••••• S•••••••• L••
left Jul 29, 2024, registered Oct 13, 2024 (76 days) · Wirehouse to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 3, 2018, registered Dec 5, 2018 (2 days) · RIA to wirehouse
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 3, 2018, registered Apr 8, 2016 (-969 days) · channel change inside one enterprise, not a move
U•• F•••••••• S••••••• I••• to T• A••••••••• I•••
left Aug 6, 2014, registered Apr 7, 2016 (610 days) · Other
M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••
left Aug 29, 2005, registered Nov 29, 2012 (2649 days) · Other

Signals

R••••• N••• M••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••• A••••••• S•••••••• L•• (registered 2024-10-13)
Jul 29, 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: Independent wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address