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

M•••••• T••••• M•••••

I••••••••• F•••••••• G••••• L••BD affiliatedGeorgetown, Tx dual registrantIAPD 3126765

Feed of 09/14/2026

At current firm

1 y

since Nov 7, 2024

In the industry

27 y

since Dec 28, 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

I••••••••• F•••••••• G••••• L•• BD affiliated current
since Nov 7, 2024 · San Diego, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Nov 7, 2024 · Georgetown, Tx
C••••• A••••••• L•• former
Apr 22, 2019 to Mar 21, 2024 · Georgetown, Tx
N••• F•••••••• G••••• I••• former
Dec 12, 2008 to Apr 23, 2019 · San Antonio, Tx
S••• V•••• P•••••••• L••• other
Mar 28, 2006 to Dec 31, 2006 · San Antonio, Tx
I••••••••• P••••••••• I••• former
Nov 8, 2004 to Jan 9, 2009 · Owasso, Ok

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to I••••••••• F•••••••• G••••• L••
left Nov 7, 2024, registered Nov 7, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
N••• F•••••••• G••••• I••• to C••••• A••••••• L••
left Apr 23, 2019, registered Apr 22, 2019 (-1 days) · RIA to affiliated broker-dealer or bank
I••••••••• P••••••••• I••• to S••• V•••• P•••••••• L•••
left Jan 9, 2009, registered Mar 28, 2006 (-1018 days) · Other
S••• V•••• P•••••••• L••• to N••• F•••••••• G••••• I•••
left Dec 31, 2006, registered Dec 12, 2008 (712 days) · Other

Signals

M•••••• T••••• M••••• left C••••• I••••••••• A••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2024-11-07)
Nov 7, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address