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

J•••• L••• D•••

W•••• F•••• A•••••••wirehouseCedar Park, Tx dual registrantIAPD 6328906

Feed of 09/15/2026

Also filed as J•••• L••• D•••

At current firm

0 y

since May 18, 2026

In the industry

10 y

since Jan 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, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since May 18, 2026 · Austin, Tx
J••• M••••• S••••••••• L•• wirehouse
Sep 28, 2022 to Jan 27, 2026 · Cedar Park, Tx
E•••••••• A•••••••• L•• national BD
Apr 8, 2022 to Jul 22, 2022 · Columbia, Md
P•• W••••• M••••••••• BD affiliated
Aug 8, 2021 to Jan 14, 2022 · New Braunfels, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Feb 28, 2019 to Jul 7, 2021 · New Providence, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 2, 2018 to Mar 18, 2019 · New York, Ny
S•••••••• S••••••••• BD affiliated
Dec 21, 2016 to Mar 21, 2018 · Clark, Nj

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Jan 27, 2026, registered May 18, 2026 (111 days) · Wirehouse to wirehouse · moved with a team
E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Jul 22, 2022, registered Sep 28, 2022 (68 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
P•• W••••• M••••••••• to E•••••••• A•••••••• L••
left Jan 14, 2022, registered Apr 8, 2022 (84 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to P•• W••••• M•••••••••
left Jul 7, 2021, registered Aug 8, 2021 (32 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A••••••• L••
left Mar 18, 2019, registered Feb 28, 2019 (-18 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••
left Mar 21, 2018, registered Apr 2, 2018 (12 days) · Other

Signals

J•••• L••• D••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2026-05-18)
Jan 27, 2026 · Advisor changed firm · fact
J•••• L••• D••• left E•••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-09-28)
Jul 22, 2022 · Advisor changed firm · fact
J•••• L••• D••• left P•• W••••• M••••••••• for E•••••••• A•••••••• L•• (registered 2022-04-08)
Jan 14, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address