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

T•••••• L•• B••••••••

R•••• • G•••••• W••••• M•••••••••independent RIAThe Woodlands, TxIA-onlyIAPD 3081840

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Nov 21, 2024

In the industry

28 y

since Aug 6, 1998 (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

R•••• • G•••••• W••••• M••••••••• independent RIA current
since Nov 21, 2024 · The Woodlands, Tx
L•• F•••••••• L•• BD affiliated
Jun 14, 2024 to Nov 25, 2024 · Spring, Tx
C•••••• S••••• • C••• I••• national BD
Jun 21, 2011 to Apr 10, 2024 · The Woodlands, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 14, 1998 to Nov 5, 2009 · The Woodlands, Tx

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to R•••• • G•••••• W••••• M•••••••••
left Nov 25, 2024, registered Nov 21, 2024 (-4 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left Apr 10, 2024, registered Jun 14, 2024 (65 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••
left Nov 5, 2009, registered Jun 21, 2011 (593 days) · Affiliated broker-dealer or bank to another

Signals

T•••••• L•• B•••••••• left L•• F•••••••• L•• for R•••• • G•••••• W••••• M••••••••• (registered 2024-11-21)
Nov 25, 2024 · Advisor changed firm · fact
T•••••• L•• B•••••••• left C•••••• S••••• • C••• I••• for L•• F•••••••• L•• (registered 2024-06-14)
Apr 10, 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: Independent wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address