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

S•••• M•••••• H•••••••••

7••••••••• L••state registeredThe Woodlands, TxIA-onlyIAPD 2764121

Feed of 09/14/2026

At current firm

1 y

since Jul 9, 2025

In the industry

30 y

since Jul 11, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

7••••••••• L•• state registered current
since Jul 9, 2025 · The Woodlands, Tx
C•• W••••• M••••••••• independent RIA
Aug 20, 2010 to Nov 27, 2024 · The Woodlands, Tx
L•• F•••••••• L•• BD affiliated
Feb 9, 2007 to Aug 23, 2010 · Kerrville, Tx
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jan 20, 2006 to Mar 2, 2007 · San Antonio, Tx
A•••• I••••••••• I••• former
Jan 9, 2004 to Jan 18, 2006 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

C•• W••••• M••••••••• to 7••••••••• L••
left Nov 27, 2024, registered Jul 9, 2025 (224 days) · RIA to a state-registered adviser
L•• F•••••••• L•• to C•• W••••• M•••••••••
left Aug 23, 2010, registered Aug 20, 2010 (-3 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Mar 2, 2007, registered Feb 9, 2007 (-21 days) · Other
A•••• I••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Jan 18, 2006, registered Jan 20, 2006 (2 days) · Other

Signals

S•••• M•••••• H••••••••• left C•• W••••• M••••••••• for 7••••••••• L•• (registered 2025-07-09)
Nov 27, 2024 · 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: STATE REGISTEREDderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address