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.
Feed of 09/14/2026
Also filed as Joe Ceasar
At current firm
1 y
since Jan 28, 2025
In the industry
22 y
since Mar 26, 2004 (earliest exam, job or registration)
Prior registered firms
8
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
- 11 Financial former currentsince Jan 28, 2025 · Lufkin, Tx
- 11 Financial formerNov 29, 2022 to Dec 31, 2024 · Lufkin, Tx
- Semita Asset Management formerJun 8, 2015 to Feb 1, 2021 · Houston, Tx
- Investors Of The Kingdom LLC unclassifiedMay 13, 2015 to Jul 6, 2017 · Lufkin, Tx
- Caz Investments L.P. asset managerSep 22, 2011 to Jul 6, 2015 · Houston, Tx
- Inroads Capital Management LLC unclassifiedJul 2, 2010 to Oct 24, 2011 · Houston, Tx
- Chase Investment Services Corp. formerJul 6, 2005 to Mar 3, 2006 · Houston, Tx
- Banc One Securities Corporation unclassifiedApr 22, 2005 to Jul 6, 2005 · Cypress, Tx
- Citigroup Global Markets Inc. BD affiliatedNov 1, 2004 to Apr 14, 2005 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Semita Asset Management to 11 Financialleft Feb 1, 2021, registered Nov 29, 2022 (666 days) · RIA to RIA
- Investors Of The Kingdom LLC to Semita Asset Managementleft Jul 6, 2017, registered Jun 8, 2015 (-759 days) · Other
- Caz Investments L.P. to Investors Of The Kingdom LLCleft Jul 6, 2015, registered May 13, 2015 (-54 days) · Other
- Inroads Capital Management LLC to Caz Investments L.P.left Oct 24, 2011, registered Sep 22, 2011 (-32 days) · Other
- Chase Investment Services Corp. to Inroads Capital Management LLCleft Mar 3, 2006, registered Jul 2, 2010 (1582 days) · Other
- Banc One Securities Corporation to Chase Investment Services Corp.left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- Citigroup Global Markets Inc. to Banc One Securities Corporationleft Apr 14, 2005, registered Apr 22, 2005 (8 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
- Former SEC-registered adviserderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address