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

J•••• E••••• S•••••••

P•••••••• S••••••••• I•••BD affiliatedAddison, Txdual registrantIAPD 2741086

Feed of 09/14/2026

Also filed as J•••• E••••• S•••••••

At current firm

1 y

since Apr 16, 2025

In the industry

29 y

since Mar 14, 1997 (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

P•••••••• S••••••••• I••• BD affiliated current
since Apr 16, 2025 · Addison, Tx
E•••• S••••••••• L•• BD affiliated
May 8, 2019 to Apr 21, 2025 · Frisco, Tx
P•••• S••••••••• L•• no RAUM
Jul 27, 2017 to Mar 18, 2019 · Plano, Tx
C••••••• S••••••••• former
Dec 3, 2013 to Sep 24, 2014 · Dallas, Tx
E••••• J•••• national BD
Aug 9, 2013 to Nov 27, 2013 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

E•••• S••••••••• L•• to P•••••••• S••••••••• I•••
left Apr 21, 2025, registered Apr 16, 2025 (-5 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to E•••• S••••••••• L••
left Mar 18, 2019, registered May 8, 2019 (51 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• to P•••• S••••••••• L••
left Sep 24, 2014, registered Jul 27, 2017 (1037 days) · Other
E••••• J•••• to C••••••• S•••••••••
left Nov 27, 2013, registered Dec 3, 2013 (6 days) · Other

Signals

J•••• E••••• S••••••• left E•••• S••••••••• L•• for P•••••••• S••••••••• I••• (registered 2025-04-16)
Apr 21, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address