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••• C••••••

V•••• F•••••••• A•••••••• I•••BD affiliatedHouston, Txdual registrantIAPD 5708708

Feed of 09/14/2026

Also filed as Rick J C••••••

At current firm

3 y

since Feb 21, 2023

In the industry

16 y

since Nov 3, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V•••• F•••••••• A•••••••• I••• BD affiliated current
since Feb 21, 2023 · Houston, Tx
S••••••• F••••••••• L••• C•• independent RIA
Oct 3, 2022 to Mar 17, 2023 · Kingwood, Tx
V•••• F•••••••• A•••••••• I••• BD affiliated
Jan 30, 2014 to Sep 29, 2022 · Houston, Tx
W•••• F•••• A••••••• wirehouse
Oct 1, 2013 to Jan 2, 2014 · Houston, Tx
F•••• C•••••• F•••••••• P•••••••• I••• former
Jan 4, 2010 to Jun 11, 2010 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

S••••••• F••••••••• L••• C•• to V•••• F•••••••• A•••••••• I•••
left Mar 17, 2023, registered Feb 21, 2023 (-24 days) · RIA to affiliated broker-dealer or bank
V•••• F•••••••• A•••••••• I••• to S••••••• F••••••••• L••• C••
left Sep 29, 2022, registered Oct 3, 2022 (4 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••
left Jan 2, 2014, registered Jan 30, 2014 (28 days) · Other
F•••• C•••••• F•••••••• P•••••••• I••• to W•••• F•••• A•••••••
left Jun 11, 2010, registered Oct 1, 2013 (1208 days) · Other

Signals

R••••• J••• C•••••• left S••••••• F••••••••• L••• C•• for V•••• F•••••••• A•••••••• I••• (registered 2023-02-21)
Mar 17, 2023 · Advisor changed firm · fact
R••••• J••• C•••••• left V•••• F•••••••• A•••••••• I••• for S••••••• F••••••••• L••• C•• (registered 2022-10-03)
Sep 29, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address