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

S•••••• C•••• H•••

S•••••••• W••••• A••••••• L••independent RIAHouston, Txdual registrantIAPD 2228431

Feed of 09/14/2026

Also filed as C•••• H•••

At current firm

1 y

since Jun 2, 2025

In the industry

34 y

since May 22, 1992 (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

S•••••••• W••••• A••••••• L•• independent RIA current
since Jun 2, 2025 · Houston, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Feb 7, 2025 · Houston, Tx
C••••• A•••••• N••••••• L•• former
May 8, 2019 to Jun 29, 2023 · Oakland, Ca
H••• • N•••• F•••••••• G••••• L•• former
Jan 14, 2008 to Dec 31, 2025 · Houston, Tx
A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
Jan 2, 2002 to Jan 16, 2008 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

H••• • N•••• F•••••••• G••••• L•• to C••••• A•••••• N••••••• L••
left Dec 31, 2025, registered May 8, 2019 (-2429 days) · Other
C••••• I••••••••• A••••••• L•• to S•••••••• W••••• A••••••• L••
left Feb 7, 2025, registered Jun 2, 2025 (115 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
A••••••••• P••••••• I••••••••• A••••••• I•• to H••• • N•••• F•••••••• G••••• L••
left Jan 16, 2008, registered Jan 14, 2008 (-2 days) · Other

Signals

S•••••• C•••• H••• left H••• • N•••• F•••••••• G••••• L•• for C••••• A•••••• N••••••• L•• (registered 2019-05-08)
Dec 31, 2025 · a•••••• firm change · fact
S•••••• C•••• H••• left C••••• I••••••••• A••••••• L•• for S•••••••• W••••• A••••••• L•• (registered 2025-06-02)
Feb 7, 2025 · a•••••• firm change · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address