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

A••••• G•••••

A••••••••• F•••••••• S•••••••• L••national BDHouston, Txdual registrantIAPD 6303033

Certified Financial Planner

Feed of 09/14/2026

Also filed as Alexis Corinne Williams

At current firm

3 y

since Aug 17, 2023

In the industry

10 y

since Feb 1, 2016 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Aug 17, 2023 · Houston, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 4, 2023 to Aug 1, 2023 · Houston, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 13, 2022 to Mar 27, 2023 · Houston, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 16, 2020 to Dec 31, 2020 · Portland, Or
F••••• I••••••••• independent RIA
Sep 19, 2019 to Dec 10, 2019 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 2, 2018 to Aug 22, 2019 · Auburn Hills, Mi
C••••••• S••••••••• former
Oct 10, 2018 to Oct 12, 2018 · Bloomfield Hills, Mi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 19, 2016 to Oct 2, 2018 · Galveston, Tx

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Mar 27, 2023, registered Apr 4, 2023 (8 days) · Wirehouse to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 31, 2020, registered Jul 13, 2022 (559 days) · Affiliated broker-dealer or bank to wirehouse
F••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Dec 10, 2019, registered Mar 16, 2020 (97 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Aug 22, 2019, registered Sep 19, 2019 (28 days) · Wirehouse to independent RIA
C••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 12, 2018, registered Nov 2, 2018 (21 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S•••••••••
left Oct 2, 2018, registered Oct 10, 2018 (8 days) · Other

Signals

A••••• G••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-04-04)
Mar 27, 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: National broker-dealer RIAderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address