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

Y••••• M•••••• C•••••

L•• F•••••••• L••BD affiliatedHouston, Txdual registrantIAPD 2801752

Feed of 09/14/2026

At current firm

2 y

since Jun 4, 2024

In the industry

32 y

since Aug 1, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 4, 2024 · Houston, Tx
I••••••••• F•••••••• G••••• L•• BD affiliated
Apr 17, 2014 to May 31, 2024 · San Diego, Ca
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Nov 6, 2012 to Apr 21, 2014 · Houston, Tx
C••••••••• F•••••••• N•••••• national BD
Dec 7, 2007 to Oct 17, 2012 · San Diego, Ca
A• G• E•••••• • S•••• I••• unclassified
Jul 29, 2002 to Dec 18, 2007 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

I••••••••• F•••••••• G••••• L•• to L•• F•••••••• L••
left May 31, 2024, registered Jun 4, 2024 (4 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••••••• F•••••••• G••••• L••
left Apr 21, 2014, registered Apr 17, 2014 (-4 days) · Other
C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 17, 2012, registered Nov 6, 2012 (20 days) · Other
A• G• E•••••• • S•••• I••• to C••••••••• F•••••••• N••••••
left Dec 18, 2007, registered Dec 7, 2007 (-11 days) · Other

Signals

Y••••• M•••••• C••••• left I••••••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2024-06-04)
May 31, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address