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

J•••••• S•••• P••••

L•• F•••••••• L••BD affiliatedWoodway, Txdual registrantIAPD 4840809

Feed of 09/14/2026

At current firm

3 y

since Jul 27, 2023

In the industry

21 y

since Oct 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

L•• F•••••••• L•• BD affiliated current
since Jul 27, 2023 · Woodway, Tx
S•• BD affiliated
Jun 1, 2012 to Jul 26, 2023 · Ann Arbor, Mi
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 6, 2009 to Jun 4, 2012 · Lubbock, Tx
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Oct 1, 2008 to Mar 5, 2009 · Lubbock, Tx
A••••••••• A•••••• S•••••••• I••• unclassified
Sep 22, 2006 to Jun 17, 2008 · Irving, Tx
A• G• E•••••• • S•••• I••• unclassified
Oct 21, 2004 to Sep 26, 2006 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

S•• to L•• F•••••••• L••
left Jul 26, 2023, registered Jul 27, 2023 (1 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to S••
left Jun 4, 2012, registered Jun 1, 2012 (-3 days) · Other
N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••
left Mar 5, 2009, registered Mar 6, 2009 (1 days) · Other
A••••••••• A•••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••
left Jun 17, 2008, registered Oct 1, 2008 (106 days) · Other
A• G• E•••••• • S•••• I••• to A••••••••• A•••••• S•••••••• I•••
left Sep 26, 2006, registered Sep 22, 2006 (-4 days) · Other

Signals

J•••••• S•••• P•••• left Spc for L•• F•••••••• L•• (registered 2023-07-27)
Jul 26, 2023 · a•••••• firm change · 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