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

B•••• A•••• W•••

A••••• A•• P••••••• S•••••••BD affiliatedHighland Village, Tx dual registrantIAPD 4853352

Feed of 09/14/2026

Also filed as B•••• A W•••

At current firm

2 y

since Jan 25, 2024

In the industry

21 y

since Oct 19, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• A•• P••••••• S••••••• BD affiliated current
since Jan 25, 2024 · Frisco, Tx
C•••••• A••••••• BD affiliated
Jul 15, 2021 to Jan 16, 2024 · Southfield, Mi
O••••••••• S••••••••• I••• BD affiliated
May 28, 2013 to Mar 13, 2015 · Frisco, Tx
N•• E•••••• S••••••••• C••••••••• former
Jan 16, 2009 to Jul 6, 2012 · Dallas, Tx
O•••• F•• I••• former
Mar 16, 2006 to Feb 23, 2007 · Addison, Tx
E•••••••• A•••••••• L•• national BD
Nov 3, 2004 to Feb 23, 2006 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to A••••• A•• P••••••• S•••••••
left Jan 16, 2024, registered Jan 25, 2024 (9 days) · Affiliated broker-dealer or bank to another
O••••••••• S••••••••• I••• to C•••••• A•••••••
left Mar 13, 2015, registered Jul 15, 2021 (2316 days) · Other
N•• E•••••• S••••••••• C••••••••• to O••••••••• S••••••••• I•••
left Jul 6, 2012, registered May 28, 2013 (326 days) · Other
O•••• F•• I••• to N•• E•••••• S••••••••• C•••••••••
left Feb 23, 2007, registered Jan 16, 2009 (693 days) · Other
E•••••••• A•••••••• L•• to O•••• F•• I•••
left Feb 23, 2006, registered Mar 16, 2006 (21 days) · Other

Signals

B•••• A•••• W••• left C•••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2024-01-25)
Jan 16, 2024 · 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