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••••• G•••••• S••••••••

P•••••••• S••••••••• I•••BD affiliatedGranbury, Txdual registrantIAPD 4993498

Feed of 09/14/2026

Also filed as D••••• G•••••• S••••••••

At current firm

1 y

since Jan 15, 2025

In the industry

21 y

since Sep 10, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• S••••••••• I••• BD affiliated current
since Jan 15, 2025 · Granbury, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 12, 2022 to Sep 16, 2024 · Fort Worth, Tx
P•••• S••••••••• L•• no RAUM
Mar 8, 2021 to May 19, 2022 · Plano, Tx
O••••••••• S••••••••• I••• BD affiliated
Jan 30, 2019 to Apr 20, 2020 · Dallas, Tx
J••• M••••• S••••••••• L•• wirehouse
May 18, 2016 to Dec 14, 2018 · Arlington, Tx
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jan 8, 2010 to May 19, 2016 · Overland Park, Ks
E••••• J•••• national BD
Apr 13, 2007 to Jan 6, 2010 · Hutchinson, Ks

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• S••••••••• I•••
left Sep 16, 2024, registered Jan 15, 2025 (121 days) · Wirehouse to affiliated broker-dealer or bank
P•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 19, 2022, registered Jul 12, 2022 (54 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
O••••••••• S••••••••• I••• to P•••• S••••••••• L••
left Apr 20, 2020, registered Mar 8, 2021 (322 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to O••••••••• S••••••••• I•••
left Dec 14, 2018, registered Jan 30, 2019 (47 days) · Wirehouse to affiliated broker-dealer or bank
T••••••• I••••••••• M••••••••• I••• to J••• M••••• S••••••••• L••
left May 19, 2016, registered May 18, 2016 (-1 days) · Other
E••••• J•••• to T••••••• I••••••••• M••••••••• I•••
left Jan 6, 2010, registered Jan 8, 2010 (2 days) · Other

Signals

D••••• G•••••• S•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••••••• S••••••••• I••• (registered 2025-01-15)
Sep 16, 2024 · Advisor changed firm · fact
D••••• G•••••• S•••••••• left P•••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-07-12)
May 19, 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