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

C••• V•••••• C•••••••

I•••••••• A••••••• S••••••••independent RIADallas, Tx IA-onlyIAPD 2201530

Feed of 09/15/2026

At current firm

1 y

since Oct 23, 2024

In the industry

36 y

since Nov 1, 1989 (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

I•••••••• A••••••• S•••••••• independent RIA current
since Oct 23, 2024 · Naples, Fl
I•••••••• A•••••••• L•• BD affiliated
Sep 7, 2023 to Nov 12, 2024 · Naples, Fl
G•••••••• W••••• P••••••• BD affiliated
Dec 21, 2022 to Sep 7, 2023 · Palm Beach Gardens, Fl
B••••••••• C•••••• M••••••••• L•• independent RIA
Mar 2, 2018 to Aug 25, 2022 · Appleton, Wi
F•••• A••••••• N•••••••• L•• independent RIA
Apr 15, 2016 to Mar 27, 2018 · Appleton, Wi
N•• H•••••• I••••••••• A•••••••• I••• unclassified
Feb 23, 2009 to Aug 15, 2016 · Appleton, Wi

Moves

a registration end followed by a registration begin elsewhere

I•••••••• A•••••••• L•• to I•••••••• A••••••• S••••••••
left Nov 12, 2024, registered Oct 23, 2024 (-20 days) · Affiliated broker-dealer or bank to independent RIA
G•••••••• W••••• P••••••• to I•••••••• A•••••••• L••
left Sep 7, 2023, registered Sep 7, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
B••••••••• C•••••• M••••••••• L•• to G•••••••• W••••• P•••••••
left Aug 25, 2022, registered Dec 21, 2022 (118 days) · RIA to affiliated broker-dealer or bank
F•••• A••••••• N•••••••• L•• to B••••••••• C•••••• M••••••••• L••
left Mar 27, 2018, registered Mar 2, 2018 (-25 days) · Other
N•• H•••••• I••••••••• A•••••••• I••• to F•••• A••••••• N•••••••• L••
left Aug 15, 2016, registered Apr 15, 2016 (-122 days) · Other

Signals

C••• V•••••• C••••••• left I•••••••• A•••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-10-23)
Nov 12, 2024 · Advisor changed firm · fact
C••• V•••••• C••••••• left G•••••••• W••••• P••••••• for I•••••••• A•••••••• L•• (registered 2023-09-07)
Sep 7, 2023 · Advisor changed firm · fact
C••• V•••••• C••••••• left B••••••••• C•••••• M••••••••• L•• for G•••••••• W••••• P••••••• (registered 2022-12-21)
Aug 25, 2022 · 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address