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

W•••••• A••••• B••••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il dual registrantIAPD 4441499

Certified Financial Planner

Feed of 09/14/2026

Also filed as Bill A••••• B••••••

At current firm

1 y

since Jan 16, 2025

In the industry

24 y

since Oct 2, 2001 (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

H•••••••• A•••••••• L•• BD affiliated current
since Jan 16, 2025 · Dallas, Tx
V••••••• A•••••••• I••• BD affiliated
Oct 13, 2022 to Jan 15, 2025 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
May 23, 2020 to Oct 5, 2022 · Westlake, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to May 24, 2020 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Oct 11, 2013 to Jan 8, 2018 · Addison, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 3, 2001 to Sep 10, 2013 · Denton, Tx

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to H•••••••• A•••••••• L••
left Jan 15, 2025, registered Jan 16, 2025 (1 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to V••••••• A•••••••• I•••
left Oct 5, 2022, registered Oct 13, 2022 (8 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Sep 10, 2013, registered Oct 11, 2013 (31 days) · Other

Signals

W•••••• A••••• B•••••• left V••••••• A•••••••• I••• for H•••••••• A•••••••• L•• (registered 2025-01-16)
Jan 15, 2025 · Advisor changed firm · fact
W•••••• A••••• B•••••• left C•••••• S••••• • C••• I••• for V••••••• A•••••••• I••• (registered 2022-10-13)
Oct 5, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address