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.

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Registered advisor

D•••• A•••••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 2339155

Feed of 09/14/2026

Also filed as Dnard Dawes Arthur

At current firm

3 y

since Apr 4, 2023

In the industry

25 y

since Mar 20, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Apr 4, 2023 · Westlake, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jul 9, 2021 · Boston, Ma
S•••••••• A••••••• L•• national BD
Sep 19, 2013 to Jul 13, 2018 · Plano, Tx
F•••••••• A••••••• G•••• L••••• independent RIA
Sep 22, 2010 to Jul 22, 2013 · Gig Harbor, Wa
C•••••••• C•••••• A•••••••• L••• unclassified
Oct 23, 2009 to Mar 9, 2010 · Dallas, Tx
S•••••••• A••••••• L•• national BD
Apr 25, 2001 to Apr 24, 2009 · Sarasota, Fl

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Jul 9, 2021, registered Apr 4, 2023 (634 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
F•••••••• A••••••• G•••• L••••• to S•••••••• A••••••• L••
left Jul 22, 2013, registered Sep 19, 2013 (59 days) · Other
C•••••••• C•••••• A•••••••• L••• to F•••••••• A••••••• G•••• L•••••
left Mar 9, 2010, registered Sep 22, 2010 (197 days) · Other
S•••••••• A••••••• L•• to C•••••••• C•••••• A•••••••• L•••
left Apr 24, 2009, registered Oct 23, 2009 (182 days) · Other

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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address