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

G••• A••••• C••••••••

L•• F•••••••• L••BD affiliatedHouston, Txdual registrantIAPD 4561712

Feed of 09/14/2026

At current firm

1 y

since Oct 28, 2024

In the industry

24 y

since Aug 2, 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

L•• F•••••••• L•• BD affiliated current
since Oct 28, 2024 · Houston, Tx
W••••••• W••••• M••••••••• mixed wealth
Jun 15, 2021 to Aug 12, 2024 · Houston, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Nov 19, 2020 · Houston, Tx
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Aug 31, 2007 to Oct 23, 2009 · Houston, Tx
U•• F•••••••• S••••••• I••• wirehouse
Jan 8, 2003 to Sep 19, 2007 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

W••••••• W••••• M••••••••• to L•• F•••••••• L••
left Aug 12, 2024, registered Oct 28, 2024 (77 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• W••••• M•••••••••
left Nov 19, 2020, registered Jun 15, 2021 (208 days) · Wirehouse to independent RIA
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Sep 19, 2007, registered Aug 31, 2007 (-19 days) · Other

Signals

G••• A••••• C•••••••• left W••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-10-28)
Aug 12, 2024 · 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