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

D•••• C••••••••• W•••••

O•••• W•••••• I•••BD affiliatedThe Woodlands, Txdual registrantIAPD 2258065

Feed of 09/14/2026

At current firm

3 y

since Sep 1, 2023

In the industry

32 y

since Aug 9, 1994 (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

O•••• W•••••• I••• BD affiliated current
since Sep 1, 2023 · The Woodlands, Tx
H••••• A•••• M••••••••• L•• unclassified
Jun 12, 2019 to Apr 29, 2024 · The Woodlands, Tx
S•••••••• F••••••••• I••• former
Mar 8, 2019 to Sep 1, 2023 · The Woodlands, Tx
G•••••••• F•••••••• G••••• I••• former
Jan 11, 2013 to Jul 17, 2013 · Houston, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 11, 1994 to Jan 8, 2013 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

H••••• A•••• M••••••••• L•• to O•••• W•••••• I•••
left Apr 29, 2024, registered Sep 1, 2023 (-241 days) · Other · moved with a team
S•••••••• F••••••••• I••• to H••••• A•••• M••••••••• L••
left Sep 1, 2023, registered Jun 12, 2019 (-1542 days) · Other · moved with a team
G•••••••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••
left Jul 17, 2013, registered Mar 8, 2019 (2060 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•••••••• F•••••••• G••••• I•••
left Jan 8, 2013, registered Jan 11, 2013 (3 days) · Other

Signals

D•••• C••••••••• W••••• left H••••• A•••• M••••••••• L•• for O•••• W•••••• I••• (registered 2023-09-01)
Apr 29, 2024 · Advisor changed firm · fact
D•••• C••••••••• W••••• left S•••••••• F••••••••• I••• for H••••• A•••• M••••••••• L•• (registered 2019-06-12)
Sep 1, 2023 · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address