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

C•••• M••• D•••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 2908975

Feed of 09/15/2026

Also filed as C•••• M••• D•••

At current firm

0 y

since Mar 26, 2026

In the industry

29 y

since Sep 17, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Mar 26, 2026 · Vestavia Hills, Al
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 16, 2025 to Jun 13, 2025 · Birmingham, Al
P•••• S••••••••• L•• no RAUM
Apr 19, 2016 to Aug 19, 2024 · Ridgeland, Ms
S•••••••• F••••••••• I••• former
Sep 12, 2014 to Jan 9, 2016 · Pensacola, Fl
P•• W••••• M••••••••• BD affiliated
Jul 16, 2013 to Aug 26, 2014 · Birmingham, Al
M•• I•••••••• S•••••••• L•• BD affiliated
Jan 2, 2013 to Jul 19, 2013 · Birmingham, Al
S•••••••• A••••••• L•• national BD
Apr 12, 2011 to Oct 8, 2012 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••
left Jun 13, 2025, registered Mar 26, 2026 (286 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Aug 19, 2024, registered Jan 16, 2025 (150 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to P•••• S••••••••• L••
left Jan 9, 2016, registered Apr 19, 2016 (101 days) · Other
P•• W••••• M••••••••• to S•••••••• F••••••••• I•••
left Aug 26, 2014, registered Sep 12, 2014 (17 days) · Other
M•• I•••••••• S•••••••• L•• to P•• W••••• M•••••••••
left Jul 19, 2013, registered Jul 16, 2013 (-3 days) · Other
S•••••••• A••••••• L•• to M•• I•••••••• S•••••••• L••
left Oct 8, 2012, registered Jan 2, 2013 (86 days) · Other

Signals

C•••• M••• D••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2026-03-26)
Jun 13, 2025 · Advisor changed firm · fact
C•••• M••• D••• left P•••• S••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-01-16)
Aug 19, 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address