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RIA Intelligence
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Feed of 09/14/2026
Also filed as J••••• Diane S••••
At current firm
0 y
since Apr 30, 2026
In the industry
21 y
since Jul 7, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Apr 30, 2026 · Plano, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 22, 2006 to Oct 1, 2007 · Ft.Worth, Tx
- T• A••••••••• I••• formerMay 22, 2006 to Oct 1, 2007 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Dec 20, 2005 · Fort Worth, Tx
- F•••• C•••••• B••• unclassifiedJul 7, 2005 to Sep 2, 2005 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••left Oct 1, 2007, registered Apr 30, 2026 (6786 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 1, 2007, registered May 22, 2006 (-497 days) · channel change inside one enterprise, not a move
- F•••• C•••••• F•••••••• P•••••••• I••• to T• A••••••••• I•••left Dec 20, 2005, registered May 22, 2006 (153 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address