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.
Feed of 09/14/2026
Also filed as Leeann Thiessen
At current firm
6 y
since Oct 2, 2019
In the industry
29 y
since Feb 3, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Captrust institutional currentsince Oct 2, 2019 · San Antonio, Tx
- South Texas Money Management, Ltd. formerApr 5, 2016 to Dec 2, 2019 · San Antonio, Tx
- Wells Fargo Advisors wirehouseJun 6, 2008 to Jan 21, 2016 · San Antonio, Tx
- UBS International Inc. unclassifiedJul 27, 2007 to Jun 26, 2008 · San Antonio, Tx
- UBS Financial Services Inc. wirehouseNov 9, 1999 to Aug 8, 2007 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- South Texas Money Management, Ltd. to Captrustleft Dec 2, 2019, registered Oct 2, 2019 (-61 days) · Other · moved with a team
- Wells Fargo Advisors to South Texas Money Management, Ltd.left Jan 21, 2016, registered Apr 5, 2016 (75 days) · Other
- UBS International Inc. to Wells Fargo Advisorsleft Jun 26, 2008, registered Jun 6, 2008 (-20 days) · Other
- UBS Financial Services Inc. to UBS International Inc.left Aug 8, 2007, registered Jul 27, 2007 (-12 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
- Institutional managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address