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

S•••• A••••• M•••••

O•••• W•••••• I•••BD affiliatedBee Cave, Txdual registrantIAPD 4816144

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••• M•••••

At current firm

4 y

since Jul 14, 2022

In the industry

21 y

since Sep 20, 2004 (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

O•••• W•••••• I••• BD affiliated current
since Sep 1, 2023 · Bee Cave, Tx
I••••••••• W••••• C••••••• L•• state registered current
since Jul 14, 2022 · Bee Cave, Tx
S•••••••• F••••••••• I••• former
May 6, 2022 to Sep 1, 2023 · A•••••, Tx
O•••• F•• I••• former
Jan 26, 2016 to May 6, 2022 · Austin, Tx
S••• A••••••• S••••••• L•• C• mixed wealth
Nov 12, 2014 to Jan 4, 2016 · A•••••, Tx
E•••• S••••••••• L•• BD affiliated
Dec 23, 2013 to Nov 3, 2014 · New York, Ny
I••••••••• P•••••••• C••••••••• I••• former
Sep 23, 2004 to Mar 6, 2013 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F••••••••• I••• to I••••••••• W••••• C••••••• L••
left Sep 1, 2023, registered Jul 14, 2022 (-414 days) · Affiliated broker-dealer or bank to a state-registered adviser
O•••• F•• I••• to S•••••••• F••••••••• I•••
left May 6, 2022, registered May 6, 2022 (0 days) · Affiliated broker-dealer or bank to another
S••• A••••••• S••••••• L•• C• to O•••• F•• I•••
left Jan 4, 2016, registered Jan 26, 2016 (22 days) · Other
E•••• S••••••••• L•• to S••• A••••••• S••••••• L•• C•
left Nov 3, 2014, registered Nov 12, 2014 (9 days) · Other
I••••••••• P•••••••• C••••••••• I••• to E•••• S••••••••• L••
left Mar 6, 2013, registered Dec 23, 2013 (292 days) · Other

Signals

S•••• A••••• M••••• left S•••••••• F••••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2022-07-14)
Sep 1, 2023 · Advisor changed firm · fact
S•••• A••••• M••••• left O•••• F•• I••• for S•••••••• F••••••••• I••• (registered 2022-05-06)
May 6, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address