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••• P•••••• C•••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedDallas, Tx IA-onlyIAPD 3042225

Feed of 09/14/2026

Also filed as C••• P•••••• C•••••

At current firm

1 y

since Feb 3, 2025

In the industry

28 y

since Jul 1, 1998 (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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Feb 3, 2025 · Dallas, Tx
X• W••••• M••••••••• former
Jan 16, 2025 to Feb 14, 2025 · Dallas, Tx
X• W••••• M••••••••• former
Sep 25, 2018 to Dec 31, 2024 · Dallas, Tx
R•••••• J•••• • A••••••••• I••• national BD
Mar 13, 2009 to Aug 2, 2018 · Dallas, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 27, 2003 to Mar 16, 2009 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

X• W••••• M••••••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Feb 14, 2025, registered Feb 3, 2025 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
R•••••• J•••• • A••••••••• I••• to X• W••••• M•••••••••
left Aug 2, 2018, registered Sep 25, 2018 (54 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Mar 16, 2009, registered Mar 13, 2009 (-3 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C••• P•••••• C••••• left X• W••••• M••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-02-03)
Feb 14, 2025 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address