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•••••• L•• M••••

R••••••••• C•••••• M•••••••••BD affiliatedDallas, Tx dual registrantIAPD 2262059

Feed of 09/14/2026

Also filed as P•••••• L•• M••••

At current firm

0 y

since Dec 8, 2025

In the industry

33 y

since Dec 18, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R••••••••• C•••••• M••••••••• BD affiliated current
since Dec 8, 2025 · Wilson, Wy
U•• F•••••••• S••••••• I••• wirehouse
Nov 13, 2015 to Dec 24, 2025 · Dallas, Tx
C••••• S••••• S••••••••• •••• L•• former
Aug 21, 2008 to Dec 9, 2015 · Dallas, Tx
L••••• B••••••• I••• unclassified
Aug 5, 2005 to Sep 5, 2008 · Dallas, Tx
M••••• S•••••• D• I••• unclassified
Jul 27, 2000 to Aug 9, 2005 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••
left Dec 24, 2025, registered Dec 8, 2025 (-16 days) · Wirehouse to affiliated broker-dealer or bank
C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••
left Dec 9, 2015, registered Nov 13, 2015 (-26 days) · corporate re-registration, not a move
L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••
left Sep 5, 2008, registered Aug 21, 2008 (-15 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to L••••• B••••••• I•••
left Aug 9, 2005, registered Aug 5, 2005 (-4 days) · Other

Signals

P•••••• L•• M•••• left U•• F•••••••• S••••••• I••• for R••••••••• C•••••• M••••••••• (registered 2025-12-08)
Dec 24, 2025 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address