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••••••••• T••••• O•••••

W•••• F•••• A•••••••wirehouseFrisco, Tx dual registrantIAPD 2369172

Feed of 09/15/2026

At current firm

4 y

since Sep 13, 2022

In the industry

28 y

since Aug 19, 1998 (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

W•••• F•••• A••••••• wirehouse current
since Sep 13, 2022 · Old Greenwich, Ct
E••••• J•••• national BD
Mar 23, 2018 to Sep 15, 2022 · Mckinney, Tx
H••••••• F•••• asset manager
Jan 27, 2015 to Aug 11, 2017 · Fresco, Tx
H••••••• F•••• asset manager
May 6, 2014 to Dec 31, 2014 · Fresco, Tx
M••••• S•••••• wirehouse
May 7, 2011 to May 14, 2014 · Plano, Tx
U•• F•••••••• S••••••• I••• wirehouse
Jul 2, 2009 to Apr 27, 2011 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to W•••• F•••• A•••••••
left Sep 15, 2022, registered Sep 13, 2022 (-2 days) · Affiliated broker-dealer or bank to wirehouse
H••••••• F•••• to E••••• J••••
left Aug 11, 2017, registered Mar 23, 2018 (224 days) · Other
M••••• S•••••• to H••••••• F••••
left May 14, 2014, registered May 6, 2014 (-8 days) · Other
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Apr 27, 2011, registered May 7, 2011 (10 days) · Wirehouse to wirehouse

Signals

C••••••••• T••••• O••••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2022-09-13)
Sep 15, 2022 · 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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address