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

R•••••• A••• W•••••

S•••••• N••••••• • C••••••• I•••••••••national BDFrisco, TxIA-onlyIAPD 4543246

Chartered Financial Analyst

Feed of 09/14/2026

At current firm

1 y

since Apr 5, 2025

In the industry

27 y

since Jul 1, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Apr 5, 2025 · Frisco, Tx
B• R•••• W••••• A•••••••• I••• BD affiliated
Jul 29, 2022 to May 30, 2025 · Dallas, Tx
B• R•••• W••••• M••••••••• former
Jan 22, 2020 to Mar 31, 2023 · Dallas, Tx
F•••••••• F•••••••• S••••••• W••••• M••••••••• former
Jul 20, 2000 to Nov 18, 2020 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left May 30, 2025, registered Apr 5, 2025 (-55 days) · Affiliated broker-dealer or bank to another · moved with a team
B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••
left Mar 31, 2023, registered Jul 29, 2022 (-245 days) · Affiliated broker-dealer or bank to another
F•••••••• F•••••••• S••••••• W••••• M••••••••• to B• R•••• W••••• M•••••••••
left Nov 18, 2020, registered Jan 22, 2020 (-301 days) · RIA to affiliated broker-dealer or bank · moved with a team

Signals

R•••••• A••• W••••• left B• R•••• W••••• A•••••••• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-04-05)
May 30, 2025 · Advisor changed firm · fact
R•••••• A••• W••••• left B• R•••• W••••• M••••••••• for B• R•••• W••••• A•••••••• I••• (registered 2022-07-29)
Mar 31, 2023 · 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address