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

V••••• M••••• A••••

F•••• I••••••••• S•••••••BD affiliatedAustin, Tx dual registrantIAPD 4177740

Feed of 09/14/2026

Also filed as V••••• M••••• A••••

At current firm

1 y

since Apr 23, 2025

In the industry

26 y

since Sep 12, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• I••••••••• S••••••• BD affiliated current
since Apr 23, 2025 · San Antonio, Tx
C•••••• S••••• • C••• I••• national BD
Aug 27, 2021 to May 30, 2024 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 14, 2013 to Aug 31, 2021 · Carlsbad, Ca
T• A••••••••• I••• former
Jan 20, 2011 to Aug 27, 2021 · Honolulu, Hi
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 30, 2006 to Oct 14, 2013 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to F•••• I••••••••• S•••••••
left May 30, 2024, registered Apr 23, 2025 (328 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Aug 31, 2021, registered Aug 27, 2021 (-4 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 27, 2021, registered Oct 14, 2013 (-2874 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Oct 14, 2013, registered Jan 20, 2011 (-998 days) · channel change inside one enterprise, not a move

Signals

V••••• M••••• A•••• left C•••••• S••••• • C••• I••• for F•••• I••••••••• S••••••• (registered 2025-04-23)
May 30, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address