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

D•••• A•• P•••••••

K••••• A••••••• S•••••••• L••BD affiliatedHouston, Tx dual registrantIAPD 4178183

Feed of 09/15/2026

Also filed as D•••• A•• P•••••••

At current firm

1 y

since May 1, 2025

In the industry

25 y

since Oct 24, 2000 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since May 1, 2025 · Austin, Tx
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 2, 2020 to May 8, 2025 · Houston, Tx
N••••••••• S••••••••• L•• no RAUM
Apr 28, 2015 to Dec 31, 2019 · Houston, Tx
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Jul 6, 2006 to Jun 5, 2014 · Columbus, Oh
N••••••••• I••••••••• S••••••• C••••••••• unclassified
Jul 6, 2006 to Dec 5, 2006 · Houston, Tx
I••••••••• P••••••••• I••• former
Sep 21, 2005 to May 16, 2006 · Corpus Christi, Tx
M••••• S•••••• D• I••• unclassified
Jan 15, 2002 to Aug 29, 2005 · Corpus Chris, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••
left May 8, 2025, registered May 1, 2025 (-7 days) · Affiliated broker-dealer or bank to another
N••••••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2019, registered Jan 2, 2020 (2 days) · Other
N••••••••• I••••••••• A•••••••• L•• to N••••••••• S••••••••• L••
left Jun 5, 2014, registered Apr 28, 2015 (327 days) · Other
N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••
left Dec 5, 2006, registered Jul 6, 2006 (-152 days) · corporate re-registration, not a move
I••••••••• P••••••••• I••• to N••••••••• I••••••••• S••••••• C•••••••••
left May 16, 2006, registered Jul 6, 2006 (51 days) · Other
M••••• S•••••• D• I••• to I••••••••• P••••••••• I•••
left Aug 29, 2005, registered Sep 21, 2005 (23 days) · Other

Signals

D•••• A•• P••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2025-05-01)
May 8, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address