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

S••••••• P••••••• W••••••

F••••• I•••••••••independent RIAPlano, TxIA-onlyIAPD 5963706

Certified Financial Planner

Feed of 09/14/2026

Also filed as P••••••• P••••••• W••••••

At current firm

2 y

since Sep 12, 2024

In the industry

11 y

since Mar 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••• I••••••••• independent RIA current
since Sep 12, 2024 · Plano, Tx
V••••••• A•••••••• I••• BD affiliated
Apr 27, 2023 to Sep 12, 2024 · Plano, Tx
F••••• I••••••••• independent RIA
Nov 13, 2018 to Jan 19, 2023 · Plano, Tx
L•••••••• P••••••• S•••••••• L•• former
Apr 20, 2015 to Jun 11, 2018 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to F••••• I•••••••••
left Sep 12, 2024, registered Sep 12, 2024 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
F••••• I••••••••• to V••••••• A•••••••• I•••
left Jan 19, 2023, registered Apr 27, 2023 (98 days) · RIA to affiliated broker-dealer or bank
L•••••••• P••••••• S•••••••• L•• to F••••• I•••••••••
left Jun 11, 2018, registered Nov 13, 2018 (155 days) · Other

Signals

S••••••• P••••••• W•••••• left V••••••• A•••••••• I••• for F••••• I••••••••• (registered 2024-09-12)
Sep 12, 2024 · Advisor changed firm · fact
S••••••• P••••••• W•••••• left F••••• I••••••••• for V••••••• A•••••••• I••• (registered 2023-04-27)
Jan 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address