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.
Feed of 09/14/2026
At current firm
7 y
since May 10, 2019
In the industry
19 y
since Apr 26, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- The Institute independent RIA currentsince May 10, 2019 · Austin, Tx
- Institute For Wealth Advisors, Inc. formerJan 26, 2017 to Apr 30, 2019 · Austin, Tx
- Sowell Management independent RIAOct 7, 2016 to Jan 25, 2017 · Austin, Tx
- Concert Wealth Management formerSep 30, 2014 to Jun 19, 2017 · Austin, Tx
- Morgan Stanley wirehouseJun 1, 2009 to Oct 16, 2014 · Austin, Tx
- Morgan Stanley & Co. LLC unclassifiedApr 27, 2007 to Jun 1, 2009 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- Institute For Wealth Advisors, Inc. to The Instituteleft Apr 30, 2019, registered May 10, 2019 (10 days) · RIA to RIA · moved with a team
- Concert Wealth Management to Sowell Managementleft Jun 19, 2017, registered Oct 7, 2016 (-255 days) · Other · moved with a team
- Sowell Management to Institute For Wealth Advisors, Inc.left Jan 25, 2017, registered Jan 26, 2017 (1 days) · Other · moved with a team
- Morgan Stanley to Concert Wealth Managementleft Oct 16, 2014, registered Sep 30, 2014 (-16 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address