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••••••••• A•••• M••••••

C••••••independent RIADallas, TxIA-onlyIAPD 2411282

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••••••• A•••• M••••••

At current firm

1 y

since Aug 14, 2025

In the industry

32 y

since Jan 1, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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•••••• independent RIA current
since Aug 14, 2025 · Dallas, Tx
M•• W•••••• L•• unclassified
Oct 4, 2023 to Sep 29, 2025 · Dallas, Tx
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Mar 3, 2020 to Aug 12, 2025 · Dallas, Tx
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Dec 12, 2003 to Mar 5, 2020 · Dallas, Tx
N••••••••• M••••• W••••• M••••••••• C•••••• unclassified
Jun 26, 2002 to Apr 30, 2007 · Milwaukee, Wi

Moves

a registration end followed by a registration begin elsewhere

M•• W•••••• L•• to C••••••
left Sep 29, 2025, registered Aug 14, 2025 (-46 days) · Other · moved with a team
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•• W•••••• L••
left Aug 12, 2025, registered Oct 4, 2023 (-678 days) · Other · moved with a team
N••••••••• M••••• I••••••••• S••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Mar 5, 2020, registered Mar 3, 2020 (-2 days) · Other · moved with a team
N••••••••• M••••• W••••• M••••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••
left Apr 30, 2007, registered Dec 12, 2003 (-1235 days) · corporate re-registration, not a move

Signals

C••••••••• A•••• M•••••• left M•• W•••••• L•• for Corient (registered 2025-08-14)
Sep 29, 2025 · Advisor changed firm · fact
C••••••••• A•••• M•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M•• W•••••• L•• (registered 2023-10-04)
Aug 12, 2025 · 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: Independent wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address