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

C••••••• D•••••••• L•••••••••

U••• I••••••••• S••••••• C••••••no RAUMPhoenix, Az dual registrantIAPD 4648323

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as C••••••• L•••••••••

At current firm

2 y

since Aug 7, 2024

In the industry

19 y

since Mar 26, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• I••••••••• S••••••• C•••••• no RAUM current
since Aug 7, 2024 · Glendale, Az
F••••••• P••••••• A•• W•••••••• A••••••• former
Feb 25, 2021 to Oct 20, 2022 · Glendale, Az
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 4, 2018 to Dec 31, 2020 · Pearland, Tx
T• A••••••••• I••• former
Dec 4, 2018 to Jan 11, 2021 · Pearland, Tx
W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• state registered
Jul 2, 2016 to Nov 28, 2018 · Houston, Tx
H•••••• T••••••• • K•••• L•• independent RIA
May 18, 2016 to Nov 27, 2018 · Houston, Tx
M•• F•••••••• S•••••••• I••• former
Jan 2, 2015 to May 11, 2016 · Houston, Tx
N•• E•••••• S••••••••• C••••••••• former
May 24, 2013 to Jan 2, 2015 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to U••• I••••••••• S••••••• C••••••
left Oct 20, 2022, registered Aug 7, 2024 (657 days) · Other
T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 11, 2021, registered Feb 25, 2021 (45 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Dec 4, 2018 (-758 days) · corporate re-registration, not a move
W••••• D••••••••• S••••••••• I••••••••• A•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 28, 2018, registered Dec 4, 2018 (6 days) · Other
H•••••• T••••••• • K•••• L•• to W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••
left Nov 27, 2018, registered Jul 2, 2016 (-878 days) · Affiliated broker-dealer or bank to a state-registered adviser
M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••
left May 11, 2016, registered May 18, 2016 (7 days) · Other
N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move

Signals

C••••••• D•••••••• L••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for U••• I••••••••• S••••••• C•••••• (registered 2024-08-07)
Oct 20, 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: No RAUM reportedderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address