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

D•••• E•••••••

L•• F•••••••• L••BD affiliatedSan Antonio, Txdual registrantIAPD 2879581

Feed of 09/14/2026

Also filed as D•••• E•••••••

At current firm

15 y

since Apr 28, 2011

In the industry

29 y

since May 2, 1997 (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

L•• F•••••••• L•• BD affiliated current
since Apr 28, 2011 · San Antonio, Tx
S••• I••••••••• C•••••• independent RIA
Feb 17, 2010 to May 2, 2011 · San Antonio, Tx
L•• F•••••••• L•• BD affiliated
Oct 1, 2008 to Mar 16, 2010 · San Antonio, Tx
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Nov 2, 2007 to Sep 11, 2008 · San Antonio, Tx
C•••• I••••••••• S••••••• C•••• former
Dec 7, 2005 to Nov 6, 2007 · San Antonio, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Aug 17, 2004 to Dec 2, 2005 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

S••• I••••••••• C•••••• to L•• F•••••••• L••
left May 2, 2011, registered Apr 28, 2011 (-4 days) · Other
L•• F•••••••• L•• to S••• I••••••••• C••••••
left Mar 16, 2010, registered Feb 17, 2010 (-27 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••
left Sep 11, 2008, registered Oct 1, 2008 (20 days) · Other
C•••• I••••••••• S••••••• C•••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Nov 6, 2007, registered Nov 2, 2007 (-4 days) · Other
U••• I••••••••• S••••••• C•••••• to C•••• I••••••••• S••••••• C••••
left Dec 2, 2005, registered Dec 7, 2005 (5 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address