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

J•••• J••••• T•••••

E•••• S••••••••• L••BD affiliatedFrisco, Txdual registrantIAPD 4326724

Feed of 09/14/2026

Also filed as J•••• J••••• T•••••

At current firm

13 y

since Sep 13, 2013

In the industry

25 y

since Jul 6, 2001 (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

E•••• S••••••••• L•• BD affiliated current
since Sep 13, 2013 · Frisco, Tx
N•• E•••••• S••••••••• C••••••••• former
Dec 21, 2009 to Apr 29, 2010 · Dallas, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 9, 2009 to Oct 5, 2009 · Dallas, Tx
C•••• I••••••••• S••••••• C•••• former
Apr 23, 2007 to Feb 3, 2009 · Dallas, Tx
C•••••• S••••• • C••• I••• national BD
Jun 24, 2004 to Jan 4, 2007 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

N•• E•••••• S••••••••• C••••••••• to E•••• S••••••••• L••
left Apr 29, 2010, registered Sep 13, 2013 (1233 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• E•••••• S••••••••• C•••••••••
left Oct 5, 2009, registered Dec 21, 2009 (77 days) · Other
C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 3, 2009, registered Sep 9, 2009 (218 days) · Other
C•••••• S••••• • C••• I••• to C•••• I••••••••• S••••••• C••••
left Jan 4, 2007, registered Apr 23, 2007 (109 days) · Other

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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address