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.
Feed of 09/14/2026
At current firm
9 y
since Aug 1, 2017
In the industry
37 y
since May 23, 1989 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Mutual Advisors, LLC BD affiliated currentsince Aug 1, 2017 · Houston, Tx
- Wfg Advisors, LP formerNov 11, 2016 to Aug 1, 2017 · Cypress, Tx
- Polaris Wealth Advisory Group formerDec 3, 2015 to Nov 14, 2016 · Houston, Tx
- Polaris Greystone Advisory Group, LLC formerDec 10, 2014 to Nov 14, 2016 · Houston, Tx
- Greystone Financial Group, Inc. formerSep 30, 2013 to Dec 31, 2015 · Houston, Tx
- LPL Financial LLC BD affiliatedAug 4, 2011 to Aug 27, 2013 · Houston, Tx
- Amegy Investments, Inc. formerAug 13, 2008 to Apr 14, 2011 · Houston, Tx
- Zions Capital Advisors, Inc. institutionalJan 5, 2007 to Aug 13, 2008 · Salt Lake City, Ut
- Zions Direct, Inc. unclassifiedApr 20, 2006 to Dec 31, 2006 · Kingwood, Tx
- Amegy Investments, Inc. formerNov 13, 2002 to Dec 31, 2006 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Wfg Advisors, LP to Mutual Advisors, LLCleft Aug 1, 2017, registered Aug 1, 2017 (0 days) · Other
- Polaris Wealth Advisory Group to Wfg Advisors, LPleft Nov 14, 2016, registered Nov 11, 2016 (-3 days) · Other
- Polaris Greystone Advisory Group, LLC to Polaris Wealth Advisory Groupleft Nov 14, 2016, registered Dec 3, 2015 (-347 days) · Other
- Greystone Financial Group, Inc. to Polaris Greystone Advisory Group, LLCleft Dec 31, 2015, registered Dec 10, 2014 (-386 days) · Other
- LPL Financial LLC to Greystone Financial Group, Inc.left Aug 27, 2013, registered Sep 30, 2013 (34 days) · Other
- Amegy Investments, Inc. to LPL Financial LLCleft Apr 14, 2011, registered Aug 4, 2011 (112 days) · Other
- Zions Capital Advisors, Inc. to Amegy Investments, Inc.left Aug 13, 2008, registered Aug 13, 2008 (0 days) · Other
- Zions Direct, Inc. to Zions Capital Advisors, Inc.left Dec 31, 2006, registered Jan 5, 2007 (5 days) · Other
- Amegy Investments, Inc. to Zions Direct, Inc.left Dec 31, 2006, registered Apr 20, 2006 (-255 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address