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•••••• A• B••••••

J••• M••••• S••••••••• L••wirehouseIrving, Txdual registrantIAPD 5318648

Feed of 09/14/2026

Also filed as C•••••• A• B••••••

At current firm

3 y

since Jun 22, 2023

In the industry

18 y

since Dec 1, 2007 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jun 22, 2023 · Irving, Tx
F••••• I••••••••• independent RIA
Mar 18, 2022 to Jun 22, 2023 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Feb 10, 2022 · Southlake, Tx
T• A••••••••• I••• former
Jan 3, 2014 to Feb 10, 2022 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 1, 2014 to Feb 10, 2022 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to J••• M••••• S••••••••• L••
left Jun 22, 2023, registered Jun 22, 2023 (0 days) · RIA to wirehouse · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 10, 2022, registered Jan 3, 2014 (-2960 days) · channel change inside one enterprise, not a move · moved with a team
C•••••• S••••• • C••• I••• to F••••• I•••••••••
left Feb 10, 2022, registered Mar 18, 2022 (36 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Feb 10, 2022, registered Jan 26, 2022 (-15 days) · channel change inside one enterprise, not a move · moved with a team

Signals

C•••••• A• B•••••• left F••••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2023-06-22)
Jun 22, 2023 · Advisor changed firm · fact
C•••••• A• B•••••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2022-03-18)
Feb 10, 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: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address