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

L••••••• J••• M••••••

M•••••• W••••• M••••••••• L••formerDallas, Txdual registrantIAPD 2421871

Feed of 09/14/2026

At current firm

1 y

since Jan 3, 2025

In the industry

32 y

since Dec 21, 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

M•••••• W••••• M••••••••• L•• former current
since Jan 3, 2025 · Dallas, Tx
H•••••• S••••••••• I••• BD affiliated
Jul 8, 2016 to Jan 13, 2025 · Dallas, Tx
S•••••• N••••••• • C••••••• I••••••••• national BD
Mar 25, 2009 to Jul 28, 2016 · Dallas, Tx
S••••••• G•••• C•••••• unclassified
Nov 3, 2006 to Mar 25, 2009 · Dallas, Tx
M••••• S•••••• D• I••• unclassified
Dec 22, 1993 to Nov 8, 2006 · Arlington, Tx

Moves

a registration end followed by a registration begin elsewhere

H•••••• S••••••••• I••• to M•••••• W••••• M••••••••• L••
left Jan 13, 2025, registered Jan 3, 2025 (-10 days) · Affiliated broker-dealer or bank to a newly registered adviser
S•••••• N••••••• • C••••••• I••••••••• to H•••••• S••••••••• I•••
left Jul 28, 2016, registered Jul 8, 2016 (-20 days) · Other · moved with a team
S••••••• G•••• C•••••• to S•••••• N••••••• • C••••••• I•••••••••
left Mar 25, 2009, registered Mar 25, 2009 (0 days) · Other
M••••• S•••••• D• I••• to S••••••• G•••• C••••••
left Nov 8, 2006, registered Nov 3, 2006 (-5 days) · Other

Signals

L••••••• J••• M•••••• left H•••••• S••••••••• I••• for M•••••• W••••• M••••••••• L•• (registered 2025-01-03)
Jan 13, 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: Former SEC-registered adviserderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address