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.
Feed of 09/14/2026
At current firm
3 y
since Oct 3, 2022
In the industry
12 y
since Apr 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Wells Fargo Advisors wirehouse currentsince Oct 3, 2022 · Houston, Tx
- Frost Investment Services BD affiliatedJan 26, 2022 to Oct 31, 2022 · League City, Tx
- Frost Investment Services BD affiliatedOct 6, 2021 to Dec 31, 2021 · Leagus City, Tx
- J.P. Morgan Securities LLC wirehouseOct 3, 2018 to Oct 2, 2021 · Sugar Land, Tx
- Morgan Stanley wirehouseAug 21, 2014 to Sep 24, 2018 · South Jordan, Ut
Moves
a registration end followed by a registration begin elsewhere
- Frost Investment Services to Wells Fargo Advisorsleft Oct 31, 2022, registered Oct 3, 2022 (-28 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J.P. Morgan Securities LLC to Frost Investment Servicesleft Oct 2, 2021, registered Oct 6, 2021 (4 days) · Wirehouse to affiliated broker-dealer or bank
- Morgan Stanley to J.P. Morgan Securities LLCleft Sep 24, 2018, registered Oct 3, 2018 (9 days) · Wirehouse to wirehouse · moved with a team
Signals
- Salman Asif left Frost Investment Services for Wells Fargo Advisors (registered 2022-10-03)Oct 31, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address