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•••••••• A•••••••

A•••• W•••••independent RIAThe Woodlands, TxIA-onlyIAPD 6327059

Feed of 09/14/2026

Also filed as A•••••••• A•••••••

At current firm

0 y

since Apr 13, 2026

In the industry

12 y

since Jun 30, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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•••• W••••• independent RIA current
since Apr 13, 2026 · The Woodlands, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 3, 2024 to Apr 14, 2026 · San Francisco, Ca
L•• F•••••••• L•• BD affiliated
Jun 21, 2022 to Nov 21, 2024 · Clovis, Ca
M•••••• A•••••• N•••••• BD affiliated
Jul 26, 2019 to Feb 16, 2022 · Fresno, Ca
R•••••• I••••••••• A••••••• I•• former
Feb 4, 2016 to Mar 1, 2019 · Fresno, Ca
S•• I••••••••• A•••••••• I••• former
Jul 7, 2015 to Sep 28, 2015 · Fresno, Ca
C•••••• F•••••••• S•••••••• I••• former
May 7, 2015 to Jun 30, 2015 · Fresno, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to A•••• W•••••
left Apr 14, 2026, registered Apr 13, 2026 (-1 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Nov 21, 2024, registered Dec 3, 2024 (12 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• A•••••• N•••••• to L•• F•••••••• L••
left Feb 16, 2022, registered Jun 21, 2022 (125 days) · RIA to RIA
R•••••• I••••••••• A••••••• I•• to M•••••• A•••••• N••••••
left Mar 1, 2019, registered Jul 26, 2019 (147 days) · RIA to RIA
S•• I••••••••• A•••••••• I••• to R•••••• I••••••••• A••••••• I••
left Sep 28, 2015, registered Feb 4, 2016 (129 days) · Other
C•••••• F•••••••• S•••••••• I••• to S•• I••••••••• A•••••••• I•••
left Jun 30, 2015, registered Jul 7, 2015 (7 days) · Other

Signals

A•••••••• A••••••• left A••••••••• F•••••••• S•••••••• L•• for A•••• W••••• (registered 2026-04-13)
Apr 14, 2026 · a•••••• firm change · fact
A•••••••• A••••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-12-03)
Nov 21, 2024 · a•••••• firm change · fact
A•••••••• A••••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2022-06-21)
Feb 16, 2022 · a•••••• firm change · 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