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

W•••••• H•••••••• Y••••

L•• F•••••••• L••BD affiliatedSan Antonio, Txdual registrantIAPD 2388582

Feed of 09/14/2026

Also filed as W•••••• H•••••••• Y••••

At current firm

2 y

since Sep 10, 2024

In the industry

30 y

since May 17, 1996 (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

L•• F•••••••• L•• BD affiliated current
since Sep 10, 2024 · San Antonio, Tx
O•••• F•• I••• former
Sep 11, 2015 to Sep 9, 2024 · San Antonio, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Sep 11, 2015 · San Antonio, Tx
C••••• I••••••••• S••••••• L•• former
Aug 16, 2005 to Jan 21, 2014 · San Antonio, Tx
S••••••• S•••••• C•••• L••••• unclassified
Aug 26, 2002 to Dec 31, 2006 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to L•• F•••••••• L••
left Sep 9, 2024, registered Sep 10, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• I••••••••• A••••••• L•• to O•••• F•• I•••
left Sep 11, 2015, registered Sep 11, 2015 (0 days) · Other
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
S••••••• S•••••• C•••• L••••• to C••••• I••••••••• S••••••• L••
left Dec 31, 2006, registered Aug 16, 2005 (-502 days) · Other

Signals

W•••••• H•••••••• Y•••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-09-10)
Sep 9, 2024 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address