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.
Registered advisor
Casey Wayne Mason
Feed of 09/14/2026
At current firm
3 y
since Jan 31, 2023
In the industry
27 y
since Oct 19, 1998 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Texas Capital Bank Private Wealth Advisors independent RIA currentsince Jan 31, 2023 · Dallas, Tx
- Hilltop Securities Inc. BD affiliatedAug 30, 2021 to Apr 26, 2022 · Dallas, Tx
- Pks Advisory Services, LLC independent RIAMay 12, 2021 to Aug 18, 2021 · Albany, Ny
- Avantax Advisory Services formerOct 25, 2019 to Feb 10, 2021 · Irving, Tx
- 1st Global Advisors Inc formerJun 13, 2019 to Oct 25, 2019 · Dallas, Tx
- UBS Financial Services Inc. wirehouseJul 20, 2006 to Sep 19, 2012 · Plano, Tx
- Wells Fargo Advisors wirehouseFeb 6, 2006 to Jul 12, 2006 · Dallas, Tx
- Ameriprise Financial Services, LLC national BDJun 18, 2004 to Feb 2, 2006 · Plano, Tx
- Morgan Stanley Dw Inc. unclassifiedAug 29, 2002 to Jun 2, 2004 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- Hilltop Securities Inc. to Texas Capital Bank Private Wealth Advisorsleft Apr 26, 2022, registered Jan 31, 2023 (280 days) · Affiliated broker-dealer or bank to independent RIA
- Pks Advisory Services, LLC to Hilltop Securities Inc.left Aug 18, 2021, registered Aug 30, 2021 (12 days) · RIA to affiliated broker-dealer or bank
- Avantax Advisory Services to Pks Advisory Services, LLCleft Feb 10, 2021, registered May 12, 2021 (91 days) · Affiliated broker-dealer or bank to independent RIA
- 1st Global Advisors Inc to Avantax Advisory Servicesleft Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to 1st Global Advisors Incleft Sep 19, 2012, registered Jun 13, 2019 (2458 days) · Wirehouse to affiliated broker-dealer or bank
- Wells Fargo Advisors to UBS Financial Services Inc.left Jul 12, 2006, registered Jul 20, 2006 (8 days) · Wirehouse to wirehouse
- Ameriprise Financial Services, LLC to Wells Fargo Advisorsleft Feb 2, 2006, registered Feb 6, 2006 (4 days) · Affiliated broker-dealer or bank to wirehouse
- Morgan Stanley Dw Inc. to Ameriprise Financial Services, LLCleft Jun 2, 2004, registered Jun 18, 2004 (16 days) · Other
Signals
- Casey Wayne Mason left Hilltop Securities Inc. for Texas Capital Bank Private Wealth Advisors (registered 2023-01-31)Apr 26, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address