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

E•••••• P••• D•••••••••

H•••••• I••••••••• I•••independent RIAMenomonee Falls, Widual registrantIAPD 6398008

Feed of 09/14/2026

At current firm

0 y

since Jun 1, 2026

In the industry

12 y

since Sep 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••• I••••••••• I••• independent RIA current
since Jun 1, 2026 · Menomonee Falls, Wi
E•••••• A••••••• G••••• L•• BD affiliated
Jul 17, 2024 to Jun 3, 2026 · Addison, Tx
F••••• I••••••••• independent RIA
Nov 19, 2019 to Jun 25, 2024 · Plano, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Nov 19, 2019 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
May 21, 2015 to Jan 8, 2018 · Addison, Tx

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to H•••••• I••••••••• I•••
left Jun 3, 2026, registered Jun 1, 2026 (-2 days) · Affiliated broker-dealer or bank to independent RIA
F••••• I••••••••• to E•••••• A••••••• G••••• L••
left Jun 25, 2024, registered Jul 17, 2024 (22 days) · RIA to affiliated broker-dealer or bank
U••• I••••••••• S••••••• C•••••• to F••••• I•••••••••
left Nov 19, 2019, registered Nov 19, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move

Signals

E•••••• P••• D••••••••• left E•••••• A••••••• G••••• L•• for H•••••• I••••••••• I••• (registered 2026-06-01)
Jun 3, 2026 · Advisor changed firm · fact
E•••••• P••• D••••••••• left F••••• I••••••••• for E•••••• A••••••• G••••• L•• (registered 2024-07-17)
Jun 25, 2024 · 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: Independent wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address