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

William Carr Stokes

Frost Investment ServicesBD affiliatedSan Antonio, Tx dual registrantIAPD 4856866

Feed of 09/15/2026

At current firm

0 y

since Jun 2, 2026

In the industry

21 y

since Nov 23, 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Frost Investment Services BD affiliated current
since Jun 2, 2026 · San Antonio, Tx
Hilltop Securities Inc. BD affiliated
Dec 1, 2021 to Jun 1, 2026 · Dallas, Tx
B. Riley Wealth Advisors, Inc. BD affiliated
Apr 8, 2020 to Dec 2, 2021 · Boerne, Tx
Advisors Asset Management, Inc. mixed wealth
Aug 12, 2009 to Sep 17, 2019 · San Antonio, Tx
A. G. Edwards & Sons, Inc. unclassified
Dec 9, 2004 to Nov 11, 2005 · Kerrville, Tx

Moves

a registration end followed by a registration begin elsewhere

Hilltop Securities Inc. to Frost Investment Services
left Jun 1, 2026, registered Jun 2, 2026 (1 days) · Affiliated broker-dealer or bank to another
B. Riley Wealth Advisors, Inc. to Hilltop Securities Inc.
left Dec 2, 2021, registered Dec 1, 2021 (-1 days) · Affiliated broker-dealer or bank to another
Advisors Asset Management, Inc. to B. Riley Wealth Advisors, Inc.
left Sep 17, 2019, registered Apr 8, 2020 (204 days) · RIA to affiliated broker-dealer or bank
A. G. Edwards & Sons, Inc. to Advisors Asset Management, Inc.
left Nov 11, 2005, registered Aug 12, 2009 (1370 days) · Other

Signals

William Carr Stokes left Hilltop Securities Inc. for Frost Investment Services (registered 2026-06-02)
Jun 1, 2026 · 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