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

D•••• I• F•••••••

W••••••• M••••••••• C•••otherDallas, Txdual registrantIAPD 4826114

Feed of 09/14/2026

Also filed as D•••• F•••••••

At current firm

7 y

since Aug 5, 2019

In the industry

21 y

since Nov 12, 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

W••••••• M••••••••• C••• other current
since Aug 5, 2019 · Dallas, Tx
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
May 24, 2011 to Jul 8, 2019 · New Y•••, Ny
E•••• S••••••••• L•• BD affiliated
Oct 7, 2010 to May 24, 2011 · New Y•••, Ny
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
Feb 18, 2010 to Oct 7, 2010 · New Y•••, Ny
L•••• A••••• • C•• L•• asset manager
Nov 15, 2004 to Jan 29, 2010 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

N•• Y••• L••• I••••••••• M••••••••• L•• to W••••••• M••••••••• C•••
left Jul 8, 2019, registered Aug 5, 2019 (28 days) · Other
E•••• S••••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••
left May 24, 2011, registered May 24, 2011 (0 days) · Other
N•• Y••• L••• I••••••••• M••••••••• L•• to E•••• S••••••••• L••
left Oct 7, 2010, registered Oct 7, 2010 (0 days) · Other
L•••• A••••• • C•• L•• to N•• Y••• L••• I••••••••• M••••••••• L••
left Jan 29, 2010, registered Feb 18, 2010 (20 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: Other adviserderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address