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

R••• J••• S••••

P•• W••••• M•••••••••BD affiliatedHouston, Txdual registrantIAPD 5617515

Feed of 09/14/2026

Also filed as Ryan Smith

At current firm

3 y

since Aug 23, 2023

In the industry

17 y

since Mar 13, 2009 (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

P•• W••••• M••••••••• BD affiliated current
since Aug 23, 2023 · Houston, Tx
M••••• S•••••• wirehouse
Mar 22, 2023 to Aug 11, 2023 · Houston, Tx
E•••••• C•••••• M••••••••• L•• former
Jul 19, 2022 to Aug 11, 2023 · Arlington, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 15, 2019 to Jul 18, 2022 · New York, Ny
W•••••• • R••• former
Feb 14, 2019 to Jun 28, 2019 · Roanoke, Tx
U••••• C•••••• F•••••••• A••••••• independent RIA
Jan 25, 2017 to Jun 20, 2018 · Irving, Tx
S•••••••• I••••••••• M••••••••• former
Mar 22, 2016 to Jan 17, 2017 · Saint Louis, Mo
T• A••••••••• I••• former
Nov 2, 2010 to Mar 9, 2015 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 2, 2010 to Mar 9, 2015 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Aug 11, 2023, registered Mar 22, 2023 (-142 days) · channel change inside one enterprise, not a move
M••••• S•••••• to P•• W••••• M•••••••••
left Aug 11, 2023, registered Aug 23, 2023 (12 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••
left Jul 18, 2022, registered Jul 19, 2022 (1 days) · Wirehouse to independent RIA
W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 28, 2019, registered Jul 15, 2019 (17 days) · Affiliated broker-dealer or bank to wirehouse
U••••• C•••••• F•••••••• A••••••• to W•••••• • R•••
left Jun 20, 2018, registered Feb 14, 2019 (239 days) · RIA to affiliated broker-dealer or bank
S•••••••• I••••••••• M••••••••• to U••••• C•••••• F•••••••• A•••••••
left Jan 17, 2017, registered Jan 25, 2017 (8 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 9, 2015, registered Nov 2, 2010 (-1588 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Mar 9, 2015, registered Nov 2, 2010 (-1588 days) · channel change inside one enterprise, not a move

Signals

R••• J••• S•••• left M••••• S•••••• for P•• W••••• M••••••••• (registered 2023-08-23)
Aug 11, 2023 · Advisor changed firm · fact
R••• J••• S•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E•••••• C•••••• M••••••••• L•• (registered 2022-07-19)
Jul 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address