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

T•••••• M••• R••••

I•••••••• A•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 4247776

Feed of 09/15/2026

At current firm

0 y

since Mar 25, 2026

In the industry

25 y

since Nov 27, 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

I•••••••• A•••••••• L•• BD affiliated current
since Mar 25, 2026 · Austin, Tx
P•• S••••••• C•••••• M••••••••• L•• independent RIA
Mar 28, 2025 to Oct 21, 2025 · Austin, Tx
K••••• A••••••• S•••••••• L•• BD affiliated
Apr 19, 2016 to Mar 11, 2024 · Austin, Tx
N•• A•••••• S•••••••• L•• former
Jan 6, 2011 to Sep 22, 2016 · Austin, Tx
W•••• F•••• A••••••• wirehouse
Feb 6, 2007 to Jan 3, 2011 · Addison, Tx
I•••••••• A••••••• I•• unclassified
Jan 17, 2006 to May 30, 2006 · Austin, Tx
W•••• F•••• I••••••••• L•• unclassified
Jul 26, 2004 to Dec 5, 2005 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

P•• S••••••• C•••••• M••••••••• L•• to I•••••••• A•••••••• L••
left Oct 21, 2025, registered Mar 25, 2026 (155 days) · RIA to affiliated broker-dealer or bank
K••••• A••••••• S•••••••• L•• to P•• S••••••• C•••••• M••••••••• L••
left Mar 11, 2024, registered Mar 28, 2025 (382 days) · Affiliated broker-dealer or bank to independent RIA
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to N•• A•••••• S•••••••• L••
left Jan 3, 2011, registered Jan 6, 2011 (3 days) · Other
I•••••••• A••••••• I•• to W•••• F•••• A•••••••
left May 30, 2006, registered Feb 6, 2007 (252 days) · Other
W•••• F•••• I••••••••• L•• to I•••••••• A••••••• I••
left Dec 5, 2005, registered Jan 17, 2006 (43 days) · Other

Signals

T•••••• M••• R•••• left P•• S••••••• C•••••• M••••••••• L•• for I•••••••• A•••••••• L•• (registered 2026-03-25)
Oct 21, 2025 · a•••••• firm change · fact
T•••••• M••• R•••• left K••••• A••••••• S•••••••• L•• for P•• S••••••• C•••••• M••••••••• L•• (registered 2025-03-28)
Mar 11, 2024 · a•••••• firm change · 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