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

N••••••• D•••• I••••

C••••• I••••••••• A••••••• L••BD affiliatedLockhart, Txdual registrantIAPD 6002688

Feed of 09/14/2026

Also filed as N••••••• I••••

At current firm

1 y

since Sep 5, 2025

In the industry

14 y

since Feb 16, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Lockhart, Tx
A•••••• A••••••• S••••••• former
Mar 25, 2024 to Sep 5, 2025 · Giddings, Tx
E••••• J•••• national BD
Jun 18, 2020 to Mar 28, 2024 · St Louis, Mo
S••• I••••••••• A••••••• S••••••• L•• no RAUM
Apr 11, 2018 to Mar 3, 2021 · Austin, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 4, 2015 to Apr 5, 2017 · San Marcos, Tx
J••• M••••• S••••••••• L•• wirehouse
Sep 19, 2013 to Jul 1, 2015 · Kyle, Tx
E••••• J•••• national BD
Feb 16, 2012 to Sep 5, 2013 · Maryland Heights, Mo

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
E••••• J•••• to A•••••• A••••••• S•••••••
left Mar 28, 2024, registered Mar 25, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
S••• I••••••••• A••••••• S••••••• L•• to E••••• J••••
left Mar 3, 2021, registered Jun 18, 2020 (-258 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••• I••••••••• A••••••• S••••••• L••
left Apr 5, 2017, registered Apr 11, 2018 (371 days) · Other
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 1, 2015, registered Aug 4, 2015 (34 days) · Wirehouse to wirehouse
E••••• J•••• to J••• M••••• S••••••••• L••
left Sep 5, 2013, registered Sep 19, 2013 (14 days) · Affiliated broker-dealer or bank to wirehouse

Signals

N••••••• D•••• I•••• left E••••• J•••• for A•••••• A••••••• S••••••• (registered 2024-03-25)
Mar 28, 2024 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address