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

F••••• P••• C••••••

E••••••• F••••••••• I•••state registeredDallas, Tx dual registrantIAPD 2676976

Certified Financial Planner

Feed of 09/15/2026

Also filed as F••••• P••• C••••••

At current firm

15 y

since Jan 6, 2011

In the industry

25 y

since Aug 10, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••• A•••• M••••••••• L•• independent RIA current
since May 16, 2023 · Dallas, Tx
E••••••• F••••••••• I••• state registered current
since Jan 6, 2011 · Dallas, Tx
I••••• F•••••••• C••••••••• former
Jun 27, 2011 to Sep 7, 2011 · Appleton, Wi
E••••••• F•••••••• S•••••••• I••• unclassified
Sep 1, 2010 to Jun 23, 2011 · New York, Ny
C••••••••• F•••••••• N•••••• national BD
Dec 7, 2006 to Sep 2, 2010 · New York, Ny
C••••••••• F•••••••• N•••••• national BD
Mar 6, 2003 to Mar 23, 2004 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 10, 2001 to Feb 20, 2003 · Rockland, Ma

Moves

a registration end followed by a registration begin elsewhere

I••••• F•••••••• C••••••••• to T••••••• A•••• M••••••••• L••
left Sep 7, 2011, registered May 16, 2023 (4269 days) · Other
E••••••• F•••••••• S•••••••• I••• to E••••••• F••••••••• I•••
left Jun 23, 2011, registered Jan 6, 2011 (-168 days) · Other
C••••••••• F•••••••• N•••••• to E••••••• F•••••••• S•••••••• I•••
left Sep 2, 2010, registered Sep 1, 2010 (-1 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••
left Feb 20, 2003, registered Mar 6, 2003 (14 days) · Wirehouse to affiliated broker-dealer or bank

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: STATE REGISTEREDderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address