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

E••••• O••• M•••••

L•• F•••••••• L••BD affiliatedBreckenridge, Tx dual registrantIAPD 5480914

Feed of 09/15/2026

Also filed as O••• M•••••

At current firm

2 y

since May 16, 2024

In the industry

18 y

since May 14, 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

L•• F•••••••• L•• BD affiliated current
since May 16, 2024 · Breckenridge, Tx
O•••• F•• I••• former
Nov 3, 2017 to May 20, 2024 · Breckenridge, Tx
F•••• C•••••• A••••••• S••••••• BD affiliated
Dec 15, 2015 to Nov 17, 2017 · Fort Worth, Tx
F•••• C•••••• F•••••••• P•••••••• I••• former
May 6, 2009 to Dec 15, 2015 · Abilene, Tx
E••••• J•••• national BD
May 20, 2008 to Nov 28, 2008 · Cisco, Tx

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to L•• F•••••••• L••
left May 20, 2024, registered May 16, 2024 (-4 days) · corporate re-registration, not a move
F•••• C•••••• A••••••• S••••••• to O•••• F•• I•••
left Nov 17, 2017, registered Nov 3, 2017 (-14 days) · Other
F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••
left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
E••••• J•••• to F•••• C•••••• F•••••••• P•••••••• I•••
left Nov 28, 2008, registered May 6, 2009 (159 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