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••••• S•• W•••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedOlney, Txdual registrantIAPD 5562986

Feed of 09/14/2026

Also filed as C••••• S•• W•••

At current firm

3 y

since Sep 15, 2023

In the industry

18 y

since Sep 12, 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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Sep 15, 2023 · Olney, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 28, 2020 to Sep 19, 2023 · Olney, Tx
E•• F•••••••• A••••••• independent RIA
Oct 11, 2019 to Nov 2, 2020 · Addison, Tx
M••••• S•••••• wirehouse
Jul 1, 2016 to Oct 15, 2019 · Wichita Falls, Tx
E••••• J•••• national BD
Sep 25, 2008 to Jul 5, 2016 · Seymour, Tx

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Sep 19, 2023, registered Sep 15, 2023 (-4 days) · Affiliated broker-dealer or bank to another
E•• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 2, 2020, registered Oct 28, 2020 (-5 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to E•• F•••••••• A•••••••
left Oct 15, 2019, registered Oct 11, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to M••••• S••••••
left Jul 5, 2016, registered Jul 1, 2016 (-4 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C••••• S•• W••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-09-15)
Sep 19, 2023 · 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: 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