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

C••••• B•••••• R••••

A••••••• A••••••• S•••••••• L••BD affiliatedFrisco, Tx dual registrantIAPD 5292419

Feed of 09/14/2026

Also filed as C••••• R••••

At current firm

2 y

since Feb 23, 2024

In the industry

16 y

since Nov 11, 2009 (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••••••• S•••••••• L•• BD affiliated current
since Feb 23, 2024 · Frisco, Tx
C• I••••••••• L•• independent RIA
Jun 2, 2023 to Nov 9, 2023 · Auburn, In
C•••••• A••••••• BD affiliated
Aug 24, 2022 to May 15, 2023 · Hurst, Tx
F••••• I••••••••• independent RIA
Jul 11, 2022 to Aug 9, 2022 · Plano, Tx
E••••••• W••••• A••••••• former
Jul 9, 2021 to Mar 16, 2022 · Oklahoma City, Ok
K•••••• independent RIA
Dec 8, 2020 to Jun 30, 2021 · St. Louis, Mo
R••••••••• P••••••• O• A•••••• independent RIA
Sep 12, 2013 to Nov 23, 2020 · Plano, Tx
T• A••••••••• I••• former
Jun 23, 2010 to Sep 20, 2011 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 23, 2010 to Sep 20, 2011 · Fort Worth, Tx
C•••• I••••••••• S••••••• C•••• former
Mar 25, 2010 to Jun 8, 2010 · Roanoke, Tx
S•••••••• A••••••• L•• national BD
Nov 13, 2009 to Feb 18, 2010 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

C• I••••••••• L•• to A••••••• A••••••• S•••••••• L••
left Nov 9, 2023, registered Feb 23, 2024 (106 days) · RIA to affiliated broker-dealer or bank
C•••••• A••••••• to C• I••••••••• L••
left May 15, 2023, registered Jun 2, 2023 (18 days) · Affiliated broker-dealer or bank to independent RIA
F••••• I••••••••• to C•••••• A•••••••
left Aug 9, 2022, registered Aug 24, 2022 (15 days) · RIA to affiliated broker-dealer or bank
E••••••• W••••• A••••••• to F••••• I•••••••••
left Mar 16, 2022, registered Jul 11, 2022 (117 days) · RIA to RIA
K•••••• to E••••••• W••••• A•••••••
left Jun 30, 2021, registered Jul 9, 2021 (9 days) · RIA to RIA
R••••••••• P••••••• O• A•••••• to K••••••
left Nov 23, 2020, registered Dec 8, 2020 (15 days) · RIA to RIA
T• A••••••••• I••• to R••••••••• P••••••• O• A••••••
left Sep 20, 2011, registered Sep 12, 2013 (723 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 20, 2011, registered Jun 23, 2010 (-454 days) · channel change inside one enterprise, not a move
C•••• I••••••••• S••••••• C•••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 8, 2010, registered Jun 23, 2010 (15 days) · Other
S•••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••
left Feb 18, 2010, registered Mar 25, 2010 (35 days) · Other

Signals

C••••• B•••••• R•••• left C• I••••••••• L•• for A••••••• A••••••• S•••••••• L•• (registered 2024-02-23)
Nov 9, 2023 · Advisor changed firm · fact
C••••• B•••••• R•••• left C•••••• A••••••• for C• I••••••••• L•• (registered 2023-06-02)
May 15, 2023 · Advisor changed firm · fact
C••••• B•••••• R•••• left F••••• I••••••••• for C•••••• A••••••• (registered 2022-08-24)
Aug 9, 2022 · Advisor changed firm · fact
C••••• B•••••• R•••• left E••••••• W••••• A••••••• for F••••• I••••••••• (registered 2022-07-11)
Mar 16, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address