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••••••••• P•••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 6281003

Feed of 09/14/2026

At current firm

1 y

since Aug 13, 2025

In the industry

13 y

since Jul 1, 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

C•••••• S••••• • C••• I••• national BD current
since Aug 13, 2025 · Westlake, Tx
W•••• F•••• A••••••• wirehouse
Feb 15, 2024 to Aug 11, 2025 · St. Louis, Mo
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 22, 2021 to Jun 6, 2022 · San Antonio, Tx
F•••••••• A•••••••• I••••••••• M••••••••• former
Jun 21, 2019 to Oct 7, 2019 · Renton, Wa
K•• I••••••••• S••••••• L•• BD affiliated
Jul 11, 2018 to Nov 9, 2018 · Vancouver, Wa
E••••• J•••• national BD
Mar 4, 2014 to May 31, 2018 · Anchorage, Ak

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••
left Aug 11, 2025, registered Aug 13, 2025 (2 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Jun 6, 2022, registered Feb 15, 2024 (619 days) · Affiliated broker-dealer or bank to wirehouse
F•••••••• A•••••••• I••••••••• M••••••••• to C•••••••• G••••• M•••••• I•••
left Oct 7, 2019, registered Sep 22, 2021 (716 days) · RIA to affiliated broker-dealer or bank
K•• I••••••••• S••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••
left Nov 9, 2018, registered Jun 21, 2019 (224 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to K•• I••••••••• S••••••• L••
left May 31, 2018, registered Jul 11, 2018 (41 days) · Affiliated broker-dealer or bank to another

Signals

C••••••••• P••• left W•••• F•••• A••••••• for C•••••• S••••• • C••• I••• (registered 2025-08-13)
Aug 11, 2025 · Advisor changed firm · fact
C••••••••• P••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2024-02-15)
Jun 6, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address