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• J••••••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 5423304

Feed of 09/14/2026

Also filed as Catherine Anne Brown

At current firm

1 y

since Jun 13, 2025

In the industry

18 y

since Oct 25, 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

C•••••• S••••• • C••• I••• national BD current
since Jun 13, 2025 · Westlake, Tx
V••••••• A•••••••• I••• BD affiliated
Aug 3, 2023 to Dec 31, 2024 · Plano, Tx
L•••••• I••••••••• independent RIA
Feb 21, 2022 to Dec 15, 2022 · Irving, Tx
L•• F•••••••• L•• BD affiliated
Nov 6, 2020 to Dec 21, 2020 · Honolulu, Hi
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 20, 2018 to Nov 5, 2019 · Honolulu, Hi
E••••• J•••• national BD
Oct 16, 2017 to May 24, 2018 · Honolulu, Hi
A••••• A•• P••••••• S••••••• BD affiliated
Jan 3, 2013 to Jun 12, 2017 · Frisco, Tx

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Dec 31, 2024, registered Jun 13, 2025 (164 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to V••••••• A•••••••• I•••
left Dec 15, 2022, registered Aug 3, 2023 (231 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to L•••••• I•••••••••
left Dec 21, 2020, registered Feb 21, 2022 (427 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
left Nov 5, 2019, registered Nov 6, 2020 (367 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to A••••••••• F•••••••• S•••••••• L••
left May 24, 2018, registered Sep 20, 2018 (119 days) · Affiliated broker-dealer or bank to another
A••••• A•• P••••••• S••••••• to E••••• J••••
left Jun 12, 2017, registered Oct 16, 2017 (126 days) · Other

Signals

C•••••••• A• J•••••• left V••••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2025-06-13)
Dec 31, 2024 · Advisor changed firm · fact
C•••••••• A• J•••••• left L•••••• I••••••••• for V••••••• A•••••••• I••• (registered 2023-08-03)
Dec 15, 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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address