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

A••• W••••• L••••••••

P••• A••••• S••••••••• L••BD affiliatedRound Rock, Tx dual registrantIAPD 4090407

Feed of 09/14/2026

Also filed as A••• W. L••••••••

At current firm

2 y

since Jan 24, 2024

In the industry

25 y

since Aug 20, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P••• A••••• S••••••••• L•• BD affiliated current
since Jan 24, 2024 · Round Rock, Tx
P•••• S••••••••• L•• no RAUM
Mar 20, 2023 to Dec 15, 2023 · Austin, Tx
E••••• J•••• national BD
Mar 8, 2021 to Mar 14, 2023 · Round Rock, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 2, 2017 to Mar 22, 2021 · Austin, Tx
U•• F•••••••• S••••••• I••• wirehouse
Nov 28, 2008 to Sep 15, 2011 · Austin, Tx
M••••• S•••••• • C•• L•• unclassified
Dec 11, 2007 to Dec 2, 2008 · Austin, Tx
C•••• I••••••••• S••••••• C•••• former
Jun 12, 2007 to Dec 5, 2007 · Round Rock, Tx
S••••••• I••••••••• S•••••••• I••• former
Aug 18, 2005 to Apr 16, 2007 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to P••• A••••• S••••••••• L••
left Dec 15, 2023, registered Jan 24, 2024 (40 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to P•••• S••••••••• L••
left Mar 14, 2023, registered Mar 20, 2023 (6 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Mar 22, 2021, registered Mar 8, 2021 (-14 days) · Wirehouse to affiliated broker-dealer or bank
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 15, 2011, registered Feb 2, 2017 (1967 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••
left Dec 2, 2008, registered Nov 28, 2008 (-4 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to M••••• S•••••• • C•• L••
left Dec 5, 2007, registered Dec 11, 2007 (6 days) · Other
S••••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••
left Apr 16, 2007, registered Jun 12, 2007 (57 days) · Other

Signals

A••• W••••• L•••••••• left P•••• S••••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-01-24)
Dec 15, 2023 · Advisor changed firm · fact
A••• W••••• L•••••••• left E••••• J•••• for P•••• S••••••••• L•• (registered 2023-03-20)
Mar 14, 2023 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address