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

Y•••• D••••• S•••••

C••••• I••••••••• A••••••• L••BD affiliatedDuncan, Okdual registrantIAPD 5434377

Feed of 09/14/2026

Also filed as Y•••• D••••• S•••••

At current firm

3 y

since Jun 29, 2023

In the industry

18 y

since Feb 5, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Duncan, Ok
F•••• F•••••••• E••••• C••••••••• former
Oct 18, 2018 to Apr 20, 2022 · Duncan, Ok
W•••• F•••• A••••••• wirehouse
Jul 28, 2017 to Nov 15, 2018 · Duncan, Ok
E••••• J•••• national BD
Aug 3, 2012 to Aug 1, 2017 · Duncan, Ok
A••••• W••••• M••••••••• independent RIA
Feb 7, 2008 to Apr 16, 2012 · Duncan, Ok

Moves

a registration end followed by a registration begin elsewhere

F•••• F•••••••• E••••• C••••••••• to C••••• I••••••••• A••••••• L••
left Apr 20, 2022, registered Jun 29, 2023 (435 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to F•••• F•••••••• E••••• C•••••••••
left Nov 15, 2018, registered Oct 18, 2018 (-28 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to W•••• F•••• A•••••••
left Aug 1, 2017, registered Jul 28, 2017 (-4 days) · Affiliated broker-dealer or bank to wirehouse
A••••• W••••• M••••••••• to E••••• J••••
left Apr 16, 2012, registered Aug 3, 2012 (109 days) · Other

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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address