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

R••••• D••••• M••••••

H•••••• S••••••••• I•••BD affiliatedDallas, Txdual registrantIAPD 2768114

Certified Financial Planner

Feed of 09/14/2026

Also filed as R••••• M••••••

At current firm

5 y

since Apr 28, 2021

In the industry

25 y

since Oct 6, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

H•••••• S••••••••• I••• BD affiliated current
since Apr 28, 2021 · Dallas, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 27, 2012 to Jul 26, 2012 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Mar 9, 2007 to Jan 27, 2012 · San Antonio, Tx
M••••••••• R••••••••• BD affiliated
Jan 26, 2004 to Jan 30, 2007 · Washington, Dc
S•••••••• W••••• M••••••••• I•• unclassified
Oct 6, 2000 to Jan 9, 2004 · Temecula, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• I••••••••• S••••••• C•••••• to H•••••• S••••••••• I•••
left Jul 26, 2012, registered Apr 28, 2021 (3198 days) · Other
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 27, 2012, registered Jan 27, 2012 (0 days) · channel change inside one enterprise, not a move
M••••••••• R••••••••• to U••• F•••••••• P••••••• S•••••••
left Jan 30, 2007, registered Mar 9, 2007 (38 days) · Other
S•••••••• W••••• M••••••••• I•• to M••••••••• R•••••••••
left Jan 9, 2004, registered Jan 26, 2004 (17 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address