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

N••••• I•••••• C••••••••

C•••••• S••••• • C••• I•••national BDWestlake, Tx dual registrantIAPD 2447323

Certified Financial Planner

Feed of 09/15/2026

Also filed as Neil I•••••• C••••••••

At current firm

3 y

since Mar 9, 2023

In the industry

25 y

since Nov 16, 2000 (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

C•••••• S••••• • C••• I••• national BD current
since Mar 9, 2023 · Westlake, Tx
H••••••• F•••••••• S••••••• former
Mar 1, 2022 to Aug 8, 2022 · Westwood, Ma
M•••••• BD affiliated
Apr 12, 2018 to Jul 12, 2018 · Overland Park, Ks
C••••••• P••••••• independent RIA
Jan 11, 2017 to Apr 9, 2018 · Plano, Tx
S•••••••• A••••••• L•• national BD
Sep 22, 2006 to Apr 13, 2016 · Boston, Ma
F••••••• P••••••• T•••• C••••••• F•• unclassified
Apr 26, 2005 to Aug 8, 2006 · Westlake, Tx
S•••••••• A••••••• L•• national BD
Mar 19, 2001 to Aug 8, 2006 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

H••••••• F•••••••• S••••••• to C•••••• S••••• • C••• I•••
left Aug 8, 2022, registered Mar 9, 2023 (213 days) · RIA to affiliated broker-dealer or bank
M•••••• to H••••••• F•••••••• S•••••••
left Jul 12, 2018, registered Mar 1, 2022 (1328 days) · RIA to RIA
C••••••• P••••••• to M••••••
left Apr 9, 2018, registered Apr 12, 2018 (3 days) · RIA to RIA
S•••••••• A••••••• L•• to C••••••• P•••••••
left Apr 13, 2016, registered Jan 11, 2017 (273 days) · Other
S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••
left Aug 8, 2006, registered Apr 26, 2005 (-469 days) · Other
F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••
left Aug 8, 2006, registered Sep 22, 2006 (45 days) · Other

Signals

N••••• I•••••• C•••••••• left H••••••• F•••••••• S••••••• for C•••••• S••••• • C••• I••• (registered 2023-03-09)
Aug 8, 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: 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