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••••• D• W•••••

M••••••••• R•••••••••BD affiliatedCedar Park, Tx dual registrantIAPD 6290057

Feed of 09/15/2026

Also filed as R••••• D• W•••••

At current firm

1 y

since Mar 5, 2025

In the industry

12 y

since Jul 3, 2014 (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

M••••••••• R••••••••• BD affiliated current
since Mar 5, 2025 · Cedar Park, Tx
D••••••••• F••• A••••••• L• asset manager
Dec 8, 2023 to Oct 9, 2024 · Austin, Tx
C•••••• S••••• • C••• I••• national BD
Oct 14, 2021 to Nov 15, 2023 · Austin, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 24, 2021 to Aug 18, 2021 · Austin, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 28, 2019 to Dec 31, 2020 · Round Rock, Tx
T• A••••••••• I••• former
Jun 28, 2019 to Jan 11, 2021 · Indianapolis, In
T••••••••• R••••••••• A•••••••• L•• BD affiliated
Apr 27, 2015 to Jun 18, 2019 · Austin, Tx
C•••••• S••••• • C••• I••• national BD
Jul 3, 2014 to Mar 27, 2015 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

D••••••••• F••• A••••••• L• to M••••••••• R•••••••••
left Oct 9, 2024, registered Mar 5, 2025 (147 days) · Other
C•••••• S••••• • C••• I••• to D••••••••• F••• A••••••• L•
left Nov 15, 2023, registered Dec 8, 2023 (23 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Aug 18, 2021, registered Oct 14, 2021 (57 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 11, 2021, registered Mar 24, 2021 (72 days) · Other · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Jun 28, 2019 (-552 days) · corporate re-registration, not a move
T••••••••• R••••••••• A•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 18, 2019, registered Jun 28, 2019 (10 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to T••••••••• R••••••••• A•••••••• L••
left Mar 27, 2015, registered Apr 27, 2015 (31 days) · Other

Signals

R••••• D• W••••• left D••••••••• F••• A••••••• L• for M••••••••• R••••••••• (registered 2025-03-05)
Oct 9, 2024 · Advisor changed firm · fact
R••••• D• W••••• left C•••••• S••••• • C••• I••• for D••••••••• F••• A••••••• L• (registered 2023-12-08)
Nov 15, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address