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

J••••••• P•••••• S•••••

C••••• I••••••••• A••••••• L••BD affiliatedGeorgetown, Txdual registrantIAPD 2280462

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Mar 14, 2024

In the industry

33 y

since Jan 15, 1993 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 14, 2024 · Georgetown, Tx
L•• F•••••••• L•• BD affiliated
Sep 9, 2022 to Mar 19, 2024 · Cedar Park, Tx
K••••• A••••••• S•••••••• L•• BD affiliated
Feb 12, 2021 to Sep 9, 2022 · Austin, Tx
C••• F•••••••• S•••••••• L••• former
Oct 18, 2011 to Feb 12, 2021 · Austin, Tx
S••• I••••••••• C•••••• independent RIA
Jan 5, 2007 to Aug 25, 2011 · San Antonio, Tx
C••••• A•••••• N••••••• L•• former
Dec 6, 2006 to Dec 31, 2006 · San Antonio, Tx
T• A••••••••• I••• former
Sep 12, 2003 to Feb 1, 2006 · Sugar Land, Tx

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 19, 2024, registered Mar 14, 2024 (-5 days) · Affiliated broker-dealer or bank to another
K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Sep 9, 2022, registered Sep 9, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C••• F•••••••• S•••••••• L••• to K••••• A••••••• S•••••••• L••
left Feb 12, 2021, registered Feb 12, 2021 (0 days) · Affiliated broker-dealer or bank to another
S••• I••••••••• C•••••• to C••• F•••••••• S•••••••• L•••
left Aug 25, 2011, registered Oct 18, 2011 (54 days) · Other
C••••• A•••••• N••••••• L•• to S••• I••••••••• C••••••
left Dec 31, 2006, registered Jan 5, 2007 (5 days) · Other
T• A••••••••• I••• to C••••• A•••••• N••••••• L••
left Feb 1, 2006, registered Dec 6, 2006 (308 days) · Other

Signals

J••••••• P•••••• S••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-14)
Mar 19, 2024 · a•••••• firm change · fact
J••••••• P•••••• S••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-09-09)
Sep 9, 2022 · 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: 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