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.
Registered advisor
Elizabeth Evette Mock-Hernandez
Feed of 09/14/2026
Also filed as Elizabeth E. Mock
At current firm
6 y
since Jun 8, 2020
In the industry
21 y
since Dec 18, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Waterloo Capital independent RIA currentsince Jun 8, 2020 · Austin, Tx
- Raymond James & Associates, Inc. national BDMay 19, 2017 to May 7, 2020 · Austin, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 2, 2009 to May 22, 2017 · Austin, Tx
- UBS Financial Services Inc. wirehouseApr 26, 2005 to Oct 14, 2009 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- Raymond James & Associates, Inc. to Waterloo Capitalleft May 7, 2020, registered Jun 8, 2020 (32 days) · Affiliated broker-dealer or bank to independent RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Raymond James & Associates, Inc.left May 22, 2017, registered May 19, 2017 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- UBS Financial Services Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 14, 2009, registered Oct 2, 2009 (-12 days) · Wirehouse to wirehouse
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