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•••••• C•••••• L•••••••

M••••••BD affiliatedNashville, TnIA-onlyIAPD 4554535

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as R•••••• C L•••••••

At current firm

2 y

since May 2, 2024

In the industry

23 y

since Sep 24, 2002 (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

M•••••• BD affiliated current
since May 2, 2024 · Nashville, Tn
E•••••• F•••••••• E•••••• independent RIA
Jul 21, 2022 to Dec 20, 2023 · San Antonio, Tx
S••••• W••••• A•••••••• I••• no RAUM
Oct 6, 2021 to Feb 17, 2022 · San Antonio, Tx
C••••••• P••••••• independent RIA
Oct 15, 2018 to Aug 29, 2019 · San Antonio, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Oct 29, 2018 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Apr 14, 2005 to Jan 8, 2018 · San Antonio, Tx
M••••• S•••••• D• I••• unclassified
Sep 24, 2002 to Oct 31, 2002 · Webster, Tx

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to M••••••
left Dec 20, 2023, registered May 2, 2024 (134 days) · RIA to affiliated broker-dealer or bank
S••••• W••••• A•••••••• I••• to E•••••• F•••••••• E••••••
left Feb 17, 2022, registered Jul 21, 2022 (154 days) · Other
C••••••• P••••••• to S••••• W••••• A•••••••• I•••
left Aug 29, 2019, registered Oct 6, 2021 (769 days) · Other
U••• I••••••••• S••••••• C•••••• to C••••••• P•••••••
left Oct 29, 2018, registered Oct 15, 2018 (-14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
M••••• S•••••• D• I••• to U••• F•••••••• P••••••• S•••••••
left Oct 31, 2002, registered Apr 14, 2005 (896 days) · Other

Signals

R•••••• C•••••• L••••••• left E•••••• F•••••••• E•••••• for Mariner (registered 2024-05-02)
Dec 20, 2023 · Advisor changed firm · fact
R•••••• C•••••• L••••••• left S••••• W••••• A•••••••• I••• for E•••••• F•••••••• E•••••• (registered 2022-07-21)
Feb 17, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address