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

P•••••• S•••• F•••••••

M••••••• I••••••••• N•••••• I•••BD affiliatedDallas, Txdual registrantIAPD 2032347

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as P•••••• S•••• F•••••••

At current firm

2 y

since May 6, 2024

In the industry

14 y

since May 30, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••••• I••••••••• N•••••• I••• BD affiliated current
since Aug 1, 2024 · Dallas, Tx
H•••••• S••••••••• I••• BD affiliated current
since May 6, 2024 · Dallas, Tx
C•••••• S••••• • C••• I••• national BD
Aug 21, 2023 to Jan 10, 2024 · Westlake, Tx
T• A••••••••• I••• former
Sep 1, 2022 to Oct 14, 2022 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 2, 2018 to Sep 7, 2023 · Southlake, Tx
E•••••••• P•• i••••••••• wealth
Mar 16, 2015 to Apr 23, 2018 · Addison, Tx
P•••••••• I••••••••• I••• former
May 30, 2012 to Dec 31, 2014 · Addison, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to H•••••• S••••••••• I•••
left Jan 10, 2024, registered May 6, 2024 (117 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 7, 2023, registered Sep 1, 2022 (-371 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 14, 2022, registered Aug 21, 2023 (311 days) · channel change inside one enterprise, not a move
E•••••••• P•• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 23, 2018, registered Nov 2, 2018 (193 days) · Affiliated broker-dealer or bank to independent RIA
P•••••••• I••••••••• I••• to E•••••••• P••
left Dec 31, 2014, registered Mar 16, 2015 (75 days) · Other

Signals

P•••••• S•••• F••••••• left C•••••• S••••• • C••• I••• for H•••••• S••••••••• I••• (registered 2024-05-06)
Jan 10, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address