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

S•••• T••••• B••••••

S•••••••• A••••••• L••national BDGeorgetown, Tx dual registrantIAPD 3015256

Feed of 09/14/2026

Also filed as S•••• Marie Tapp

At current firm

1 y

since Mar 31, 2025

In the industry

24 y

since Aug 19, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Austin, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 22, 2022 to Mar 31, 2025 · Austin, Tx
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Jun 27, 2022 · Austin, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 2, 2019 to Jun 27, 2022 · Round Rock, Tx
T• A••••••••• I••• former
Apr 2, 2019 to Jun 27, 2022 · Round Rock, Tx
P•• M•••••• A•••••• S••••••••• I••• former
Apr 6, 2018 to Mar 18, 2019 · Austin, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Feb 9, 2015 to Mar 26, 2018 · Austin, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Nov 18, 2010 · Austin, Tx
A••••••••• A•••••• S•••••••• I••• unclassified
Nov 4, 2004 to Oct 5, 2009 · Austin, Tx
B••• O•• S••••••••• C••••••••• unclassified
Sep 15, 2003 to Nov 5, 2004 · Austin, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 3, 2002 to Sep 8, 2003 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 27, 2022, registered Apr 2, 2019 (-1182 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Jun 27, 2022, registered Jan 26, 2022 (-152 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jun 27, 2022, registered Aug 22, 2022 (56 days) · Affiliated broker-dealer or bank to another · moved with a team
P•• M•••••• A•••••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 18, 2019, registered Apr 2, 2019 (15 days) · Affiliated broker-dealer or bank to independent RIA
C••••• I••••••••• A••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••
left Mar 26, 2018, registered Apr 6, 2018 (11 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Nov 18, 2010, registered Feb 9, 2015 (1544 days) · Other
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
B••• O•• S••••••••• C••••••••• to A••••••••• A•••••• S•••••••• I•••
left Nov 5, 2004, registered Nov 4, 2004 (-1 days) · Other
A••••••••• F•••••••• S•••••••• L•• to B••• O•• S••••••••• C•••••••••
left Sep 8, 2003, registered Sep 15, 2003 (7 days) · Other

Signals

S•••• T••••• B•••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-08-22)
Jun 27, 2022 · a•••••• firm change · 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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address