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•••••• A•••••

L•• F•••••••• L••BD affiliatedHouston, Tx dual registrantIAPD 4214105

Feed of 09/14/2026

Also filed as D•••• A A•••••

At current firm

7 y

since Jan 17, 2019

In the industry

26 y

since Aug 30, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jan 17, 2019 · Houston, Tx
W•••• F•••• A••••••• wirehouse
Dec 6, 2010 to Jan 22, 2019 · Houston, Tx
P•• M•••••• A•••••• S••••••••• I••• former
Oct 15, 2010 to Dec 8, 2010 · Houston, Tx
S• J•••• W••••• M••••••••• unclassified
Mar 31, 2010 to Oct 15, 2010 · Sugarland, Tx
B••• C•••••• I••••••••• S••••••••• I•• unclassified
Mar 13, 2003 to Mar 10, 2010 · Sugar Land, Tx

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Jan 22, 2019, registered Jan 17, 2019 (-5 days) · Wirehouse to independent RIA · moved with a team
P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••
left Dec 8, 2010, registered Dec 6, 2010 (-2 days) · Other
S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••
left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••
left Mar 10, 2010, registered Mar 31, 2010 (21 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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