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•••• P•••••• B••••••

O•••• W•••••• I•••BD affiliatedRound Rock, Txdual registrantIAPD 1809667

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Jan 24, 2025

In the industry

38 y

since Jul 21, 1988 (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

O•••• W•••••• I••• BD affiliated current
since Jan 24, 2025 · Round Rock, Tx
O•••• F•• I••• former
Feb 6, 2016 to Jan 24, 2025 · Round Rock, Tx
M•• F•••••••• S•••••••• I••• former
Jan 2, 2015 to Feb 11, 2016 · Round Rock, Tx
N•• E•••••• S••••••••• C••••••••• former
Jun 20, 2005 to Jan 2, 2015 · Round Rock, Tx
T•••••• S••••••••• A••••••• C•••• unclassified
Sep 19, 2002 to Dec 2, 2003 · Austin, Tx
M••• S••••••••• C••••••••• unclassified
Apr 25, 2001 to Mar 24, 2005 · Round Rock, Tx

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to O•••• W•••••• I•••
left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
M•• F•••••••• S•••••••• I••• to O•••• F•• I•••
left Feb 11, 2016, registered Feb 6, 2016 (-5 days) · Other · moved with a team
N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
M••• S••••••••• C••••••••• to T•••••• S••••••••• A••••••• C••••
left Mar 24, 2005, registered Sep 19, 2002 (-917 days) · Other
T•••••• S••••••••• A••••••• C•••• to N•• E•••••• S••••••••• C•••••••••
left Dec 2, 2003, registered Jun 20, 2005 (566 days) · Other

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