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

L••• F••••• C•••••••

A••••• A•• P••••••• S•••••••BD affiliatedAustin, Txdual registrantIAPD 5158192

Feed of 09/14/2026

Also filed as L••• F C•••••••

At current firm

2 y

since Feb 23, 2024

In the industry

20 y

since Jul 14, 2006 (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

A••••• A•• P••••••• S••••••• BD affiliated current
since Feb 23, 2024 · Austin, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 31, 2022 to Jan 24, 2024 · Houston, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 30, 2021 to Oct 14, 2022 · Houston, Tx
P•• M•••••• A•••••• S••••••••• I••• former
Mar 30, 2018 to Oct 4, 2019 · Houston, Tx
F•••• I••••••••• S••••••• BD affiliated
Oct 5, 2017 to Feb 23, 2018 · Houston, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 7, 2013 · Houston, Tx
C•••• I••••••••• S••••••• C•••• former
May 7, 2010 to Oct 1, 2012 · Houston, Tx
C•••• I••••••••• S••••••• C•••• former
Feb 17, 2009 to Apr 28, 2009 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••
left Jan 24, 2024, registered Feb 23, 2024 (30 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 14, 2022, registered Oct 31, 2022 (17 days) · Affiliated broker-dealer or bank to wirehouse
P•• M•••••• A•••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••
left Oct 4, 2019, registered Mar 30, 2021 (543 days) · Affiliated broker-dealer or bank to another
F•••• I••••••••• S••••••• to P•• M•••••• A•••••• S••••••••• I•••
left Feb 23, 2018, registered Mar 30, 2018 (35 days) · Other
J••• M••••• S••••••••• L•• to F•••• I••••••••• S•••••••
left Nov 7, 2013, registered Oct 5, 2017 (1428 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

L••• F••••• C••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2024-02-23)
Jan 24, 2024 · Advisor changed firm · fact
L••• F••••• C••••••• left C••••• I••••••••• A••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-10-31)
Oct 14, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address