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

D•••• N•••

A••••••• F•••••••• A•••••••• L••BD affiliatedSpring, Txdual registrantIAPD 5636277

Feed of 09/14/2026

Also filed as D•••• Robert N•••

At current firm

2 y

since Oct 12, 2023

In the industry

17 y

since Jan 24, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• F•••••••• A•••••••• L•• BD affiliated current
since Oct 12, 2023 · Spring, Tx
O••••••••• • C•• I••• BD affiliated
Apr 15, 2016 to Apr 27, 2018 · The Woodlands, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 9, 2014 to Apr 7, 2016 · Houston, Tx
U•• F•••••••• S••••••• I••• wirehouse
Jul 6, 2012 to Oct 15, 2014 · The Woodlands, Tx
C•••• I••••••••• S••••••• C•••• former
Jan 18, 2011 to Jul 9, 2012 · Houston, Tx
E••••• J•••• national BD
Nov 9, 2009 to Dec 9, 2010 · Spring, Tx

Moves

a registration end followed by a registration begin elsewhere

O••••••••• • C•• I••• to A••••••• F•••••••• A•••••••• L••
left Apr 27, 2018, registered Oct 12, 2023 (1994 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••
left Apr 7, 2016, registered Apr 15, 2016 (8 days) · Other
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Oct 15, 2014, registered Oct 9, 2014 (-6 days) · Wirehouse to wirehouse
C•••• I••••••••• S••••••• C•••• to U•• F•••••••• S••••••• I•••
left Jul 9, 2012, registered Jul 6, 2012 (-3 days) · Other
E••••• J•••• to C•••• I••••••••• S••••••• C••••
left Dec 9, 2010, registered Jan 18, 2011 (40 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address