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

C••••• E••••• D•••••••

T••••••••• L••independent RIARound Rock, Tx dual registrantIAPD 6196479

Feed of 09/15/2026

At current firm

1 y

since Dec 4, 2024

In the industry

12 y

since Sep 25, 2013 (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

T••••••••• L•• independent RIA current
since Dec 4, 2024 · Round Rock, Tx
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Dec 15, 2024 · Liberty Hill, Tx
S••••••••• A•••••• A•••••••• I••• former
Jul 28, 2023 to Jun 14, 2024 · Liberty Hill, Tx
P••• A••••• S••••••••• L•• BD affiliated
Mar 7, 2016 to Aug 11, 2023 · Austin, Tx
S••••••• F•••••••• S•••••••• I••• former
Oct 11, 2013 to Feb 9, 2016 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to T••••••••• L••
left Dec 15, 2024, registered Dec 4, 2024 (-11 days) · Affiliated broker-dealer or bank to independent RIA
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
P••• A••••• S••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Aug 11, 2023, registered Jul 28, 2023 (-14 days) · Affiliated broker-dealer or bank to another
S••••••• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••
left Feb 9, 2016, registered Mar 7, 2016 (27 days) · Other

Signals

C••••• E••••• D••••••• left O•••• W•••••• I••• for T••••••••• L•• (registered 2024-12-04)
Dec 15, 2024 · Advisor changed firm · fact
C••••• E••••• D••••••• left P••• A••••• S••••••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2023-07-28)
Aug 11, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address