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•••••• R••••• I••••••

I•••••••• A•••••••• L••BD affiliatedUrbandale, Ia dual registrantIAPD 2618054

Feed of 09/14/2026

At current firm

12 y

since Nov 5, 2013

In the industry

23 y

since Mar 26, 2003 (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 Nov 5, 2013 · Katy, Tx
J• P• T••••• • C•••••• C•••••• M••••••••• L•• former
Aug 2, 2012 to Oct 17, 2013 · Katy, Tx
C• W••••• M••••••••• L•• independent RIA
Oct 4, 2011 to Aug 1, 2012 · Schaumburg, Il
W•••••• S••••••••• C••••••••• unclassified
Apr 20, 2011 to Sep 30, 2011 · Eden Prairie, Mn
O•••• F•• I••• former
Aug 10, 2007 to May 2, 2011 · Houston, Tx
S••••••• I••••••••• I••• former
Aug 18, 2003 to Aug 13, 2007 · Plantation, Fl

Moves

a registration end followed by a registration begin elsewhere

J• P• T••••• • C•••••• C•••••• M••••••••• L•• to I•••••••• A•••••••• L••
left Oct 17, 2013, registered Nov 5, 2013 (19 days) · Other
C• W••••• M••••••••• L•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••
left Aug 1, 2012, registered Aug 2, 2012 (1 days) · Other
W•••••• S••••••••• C••••••••• to C• W••••• M••••••••• L••
left Sep 30, 2011, registered Oct 4, 2011 (4 days) · Other
O•••• F•• I••• to W•••••• S••••••••• C•••••••••
left May 2, 2011, registered Apr 20, 2011 (-12 days) · Other
S••••••• I••••••••• I••• to O•••• F•• I•••
left Aug 13, 2007, registered Aug 10, 2007 (-3 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address