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

T••• L••••• L•••

I••••••••• A••••• I••••••••• M••••••••• L••BD affiliatedOrlando, Fl IA-onlyIAPD 2310647

Feed of 09/15/2026

At current firm

2 y

since May 3, 2024

In the industry

33 y

since Mar 4, 1993 (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

I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated current
since May 3, 2024 · Orlando, Fl
B• R•••• W••••• A•••••••• I••• BD affiliated
Feb 24, 2023 to Apr 25, 2024 · The Woodlands, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 26, 2016 to Feb 28, 2023 · The Woodlands, Tx
U•• F•••••••• S••••••• I••• wirehouse
Oct 14, 2010 to Sep 6, 2016 · Houston, Tx
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 21, 2010 · Houston, Tx
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Houston, Tx
M••••• S•••••• D• I••• unclassified
May 28, 2004 to Apr 2, 2007 · Houston, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 2, 1994 to Jun 11, 2004 · Sugarland, Tx

Moves

a registration end followed by a registration begin elsewhere

B• R•••• W••••• A•••••••• I••• to I••••••••• A••••• I••••••••• M••••••••• L••
left Apr 25, 2024, registered May 3, 2024 (8 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••
left Feb 28, 2023, registered Feb 24, 2023 (-4 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Sep 6, 2016, registered Aug 26, 2016 (-11 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Oct 21, 2010, registered Oct 14, 2010 (-7 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••
left Jun 11, 2004, registered May 28, 2004 (-14 days) · Other

Signals

T••• L••••• L••• left B• R•••• W••••• A•••••••• I••• for I••••••••• A••••• I••••••••• M••••••••• L•• (registered 2024-05-03)
Apr 25, 2024 · Advisor changed firm · fact
T••• L••••• L••• left A••••••••• F•••••••• S•••••••• L•• for B• R•••• W••••• A•••••••• I••• (registered 2023-02-24)
Feb 28, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address