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•••••• A••••• S•••

A••••••••• F•••••••• S•••••••• L••national BDColleyville, Txdual registrantIAPD 5771351

Certified Financial Planner

Feed of 09/14/2026

Also filed as R•••••• A••••• S•••

At current firm

0 y

since Oct 17, 2025

In the industry

14 y

since Jul 3, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

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•••••••• S•••••••• L•• national BD current
since Oct 17, 2025 · Colleyville, Tx
E••••• J•••• national BD
Jul 21, 2023 to Oct 20, 2025 · Euless, Tx
S••••••••• P•••••• C•••••• M••••••••• L•• other
Jul 20, 2022 to Aug 14, 2023 · Dallas, Tx
F••••• I••••••••• independent RIA
Aug 14, 2018 to Jul 21, 2022 · Plano, Tx
E••••• J•••• national BD
Jul 20, 2015 to Aug 8, 2018 · Dallas, Tx
T• A••••••••• I••• former
Dec 23, 2013 to Jul 29, 2015 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 23, 2013 to Jul 29, 2015 · Fort Worth, Tx
U••• F•••••••• P••••••• S••••••• former
Aug 7, 2012 to Dec 9, 2013 · Addison, Tx
S•••••••• A••••••• L•• national BD
Jul 4, 2012 to Jul 24, 2012 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to A••••••••• F•••••••• S•••••••• L••
left Oct 20, 2025, registered Oct 17, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• P•••••• C•••••• M••••••••• L•• to E••••• J••••
left Aug 14, 2023, registered Jul 21, 2023 (-24 days) · RIA to affiliated broker-dealer or bank
F••••• I••••••••• to S••••••••• P•••••• C•••••• M••••••••• L••
left Jul 21, 2022, registered Jul 20, 2022 (-1 days) · RIA to RIA
E••••• J•••• to F••••• I•••••••••
left Aug 8, 2018, registered Aug 14, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 29, 2015, registered Dec 23, 2013 (-583 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to E••••• J••••
left Jul 29, 2015, registered Jul 20, 2015 (-9 days) · Other
U••• F•••••••• P••••••• S••••••• to T• A••••••••• I•••
left Dec 9, 2013, registered Dec 23, 2013 (14 days) · Other
S•••••••• A••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Jul 24, 2012, registered Aug 7, 2012 (14 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

R•••••• A••••• S••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-10-17)
Oct 20, 2025 · Advisor changed firm · fact
R•••••• A••••• S••• left S••••••••• P•••••• C•••••• M••••••••• L•• for E••••• J•••• (registered 2023-07-21)
Aug 14, 2023 · Advisor changed firm · fact
R•••••• A••••• S••• left F••••• I••••••••• for S••••••••• P•••••• C•••••• M••••••••• L•• (registered 2022-07-20)
Jul 21, 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address