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

B•• Q• L•

C•••••• S••••• • C••• I•••national BDFrisco, Txdual registrantIAPD 2878500

Feed of 09/14/2026

Also filed as Bao Quoc Le

At current firm

4 y

since Jan 26, 2022

In the industry

29 y

since Jun 11, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jan 26, 2022 · Frisco, Tx
T• A••••••••• I••• former
May 11, 2021 to Oct 14, 2022 · Frisco, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
May 11, 2021 to Sep 7, 2023 · Frisco, Tx
E•••••• C•••••• M••••••••• L•• former
Jan 14, 2021 to May 7, 2021 · Arlington, Va
T• A••••••••• I••• former
Nov 20, 2019 to Jan 11, 2021 · Frisco, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 20, 2019 to Dec 31, 2020 · Frisco, Tx
P••••••• C•••••• A••••••• C••••••••• former
Dec 6, 2017 to Nov 1, 2019 · Frisco, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 2, 2014 to Dec 4, 2017 · Fort Worth, Tx
T• A••••••••• I••• former
Jun 2, 2014 to Dec 4, 2017 · Westlake, Tx
B•• M••••• S••••••••• C••••••••• other
Jan 8, 2007 to Apr 8, 2014 · Frisco, Tx

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered May 11, 2021 (-521 days) · corporate re-registration, not a move
E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••
left May 7, 2021, registered May 11, 2021 (4 days) · Other
T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••
left Jan 11, 2021, registered Jan 14, 2021 (3 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Nov 20, 2019 (-407 days) · corporate re-registration, not a move
P••••••• C•••••• A••••••• C••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 1, 2019, registered Nov 20, 2019 (19 days) · RIA to RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 4, 2017, registered Jun 2, 2014 (-1281 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 4, 2017, registered Jun 2, 2014 (-1281 days) · Other
B•• M••••• S••••••••• C••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 8, 2014, registered Jun 2, 2014 (55 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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address