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••••• Y•••••••••

W•••• F•••• A•••••••wirehouseFrisco, Tx dual registrantIAPD 5411307

Certified Financial Planner

Feed of 09/15/2026

Also filed as C••••• Y•••••••••

At current firm

4 y

since May 16, 2022

In the industry

18 y

since May 22, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Feb 16, 2023 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse current
since May 16, 2022 · St. Louis, Mo
C••• L•• BD affiliated
Sep 9, 2021 to Jan 5, 2022 · Omaha, Ne
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Jan 11, 2013 · Addison, Tx
W•••• F•••• I••••••••• L•• unclassified
Jul 23, 2010 to Jan 3, 2011 · Irving, Tx
W•••• F•••• A••••••• wirehouse
May 23, 2008 to Jul 27, 2010 · Irving, Tx

Moves

a registration end followed by a registration begin elsewhere

C••• L•• to W•••• F•••• A•••••••
left Jan 5, 2022, registered May 16, 2022 (131 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to C••• L••
left Jan 11, 2013, registered Sep 9, 2021 (3163 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••
left Jul 27, 2010, registered Jul 23, 2010 (-4 days) · Other

Signals

C••••• Y••••••••• left C••• L•• for W•••• F•••• A••••••• (registered 2022-05-16)
Jan 5, 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