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

E••••• C••• I•••••

I•••••••• A•••••••• L••BD affiliatedFlower Mound, Tx dual registrantIAPD 255677

Feed of 09/14/2026

At current firm

9 y

since Sep 6, 2017

In the industry

46 y

since Dec 19, 1979 (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

I•••••••• A•••••••• L•• BD affiliated current
since Sep 6, 2017 · Urbandale, Ia
N••• F•••••••• G••••• I••• former
Oct 12, 2010 to Sep 5, 2017 · Scottsdale, Az
V•••• C•••••• P•••••••• L•• independent RIA
Dec 22, 2009 to Oct 5, 2010 · Scottsdale, Az
N••• F•••••••• G••••• I••• former
Jan 22, 2008 to Aug 20, 2010 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 7, 2003 to Dec 7, 2007 · Scottsdale, Az
A•••••• M••••••••• I••••••••• unclassified
Jun 3, 2002 to Dec 31, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

N••• F•••••••• G••••• I••• to I•••••••• A•••••••• L••
left Sep 5, 2017, registered Sep 6, 2017 (1 days) · Other
V•••• C•••••• P•••••••• L•• to N••• F•••••••• G••••• I•••
left Oct 5, 2010, registered Oct 12, 2010 (7 days) · Other
N••• F•••••••• G••••• I••• to V•••• C•••••• P•••••••• L••
left Aug 20, 2010, registered Dec 22, 2009 (-241 days) · Other
A•••••• M••••••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 31, 2009, registered Feb 7, 2003 (-2519 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••• F•••••••• G••••• I•••
left Dec 7, 2007, registered Jan 22, 2008 (46 days) · Other

Signals

No dated event on this person.

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: 46derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address