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•••• D••••• P•••••

W•••• F•••• A•••••••wirehouseFrisco, Tx dual registrantIAPD 2290550

Feed of 09/15/2026

At current firm

6 y

since Sep 26, 2019

In the industry

32 y

since Dec 9, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Sep 26, 2019 · Birmingham, Mi
H•••••• S••••••••• I••• BD affiliated
Jan 6, 2012 to Oct 25, 2019 · Dallas, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Jan 10, 2012 · Dallas, Tx
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Oct 23, 2009 · Addison, Tx
Q•••• • R•••••• I••• unclassified
Sep 14, 2004 to Oct 20, 2004 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

H•••••• S••••••••• I••• to W•••• F•••• A•••••••
left Oct 25, 2019, registered Sep 26, 2019 (-29 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• S••••••••• I•••
left Jan 10, 2012, registered Jan 6, 2012 (-4 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: Wirehousederived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address