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.

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Registered advisor

L•••••• D•••••

M••••• S••••••wirehouseHouston, Txdual registrantIAPD 5493373

Feed of 09/14/2026

Also filed as L•••••• T D•••••

At current firm

1 y

since Jun 17, 2025

In the industry

13 y

since Aug 1, 2013 (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

M••••• S•••••• wirehouse current
since Jun 17, 2025 · Houston, Tx
W•••• F•••• A••••••• wirehouse
Aug 21, 2024 to Jun 4, 2025 · Houston, Tx
M••••• S•••••• wirehouse
May 3, 2018 to Jan 11, 2024 · Lawrenceville, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 3, 2017 to Dec 7, 2017 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M••••• S••••••
left Jun 4, 2025, registered Jun 17, 2025 (13 days) · Wirehouse to wirehouse
M••••• S•••••• to W•••• F•••• A•••••••
left Jan 11, 2024, registered Aug 21, 2024 (223 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Dec 7, 2017, registered May 3, 2018 (147 days) · Wirehouse to wirehouse

Signals

L•••••• D••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2025-06-17)
Jun 4, 2025 · Advisor changed firm · fact
L•••••• D••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2024-08-21)
Jan 11, 2024 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address