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.
Feed of 09/14/2026
At current firm
4 y
since Apr 26, 2022
In the industry
24 y
since Apr 19, 2002 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- 545 Investments state registered currentsince Apr 26, 2022 · Katy, Tx
- 545 Investments state registeredJan 21, 2021 to Dec 31, 2021 · Katy, Tx
- Wells Fargo Advisors wirehouseMay 30, 2014 to Dec 11, 2019 · Houston, Tx
- Bok Financial Advisors BD affiliatedApr 3, 2012 to Jun 2, 2014 · Houston, Tx
- Caz Investments L.P. asset managerApr 20, 2011 to Apr 17, 2012 · Houston, Tx
- Morgan Stanley wirehouseJun 1, 2009 to Apr 18, 2011 · Houston, Tx
- Morgan Stanley & Co. LLC unclassifiedJun 9, 2008 to Jun 1, 2009 · Houston, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 13, 2004 to Jun 10, 2008 · Houston, Tx
- Park Avenue Securities LLC BD affiliatedJan 5, 2004 to Aug 12, 2004 · Houston, Tx
- Equitable Advisors, LLC national BDApr 22, 2002 to Sep 16, 2002 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Wells Fargo Advisors to 545 Investmentsleft Dec 11, 2019, registered Jan 21, 2021 (407 days) · Wirehouse to a state-registered adviser
- Bok Financial Advisors to Wells Fargo Advisorsleft Jun 2, 2014, registered May 30, 2014 (-3 days) · Other
- Caz Investments L.P. to Bok Financial Advisorsleft Apr 17, 2012, registered Apr 3, 2012 (-14 days) · Other
- Morgan Stanley to Caz Investments L.P.left Apr 18, 2011, registered Apr 20, 2011 (2 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley & Co. LLCleft Jun 10, 2008, registered Jun 9, 2008 (-1 days) · Other
- Park Avenue Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 12, 2004, registered Aug 13, 2004 (1 days) · Other
- Equitable Advisors, LLC to Park Avenue Securities LLCleft Sep 16, 2002, registered Jan 5, 2004 (476 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address