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

I•••••• D••••••

S•••••• F•••••••• G••••• L•••••independent RIAHouston, Tx IA-onlyIAPD 6604050

Feed of 09/14/2026

Also filed as I•••••• Dwindt

At current firm

2 y

since Aug 7, 2024

In the industry

11 y

since Apr 1, 2015 (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

S•••••• F•••••••• G••••• L••••• independent RIA current
since Aug 7, 2024 · Houston, Tx
S•••••••• W••••• P•••••••• L••• independent RIA
Feb 5, 2024 to May 24, 2024 · Independence, Oh
W•••• F•••• A••••••• wirehouse
May 31, 2019 to Oct 12, 2023 · Houston, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 28, 2018 to Mar 26, 2019 · Kingwood, Tx

Moves

a registration end followed by a registration begin elsewhere

S•••••••• W••••• P•••••••• L••• to S•••••• F•••••••• G••••• L•••••
left May 24, 2024, registered Aug 7, 2024 (75 days) · RIA to RIA
W•••• F•••• A••••••• to S•••••••• W••••• P•••••••• L•••
left Oct 12, 2023, registered Feb 5, 2024 (116 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Mar 26, 2019, registered May 31, 2019 (66 days) · Wirehouse to wirehouse · moved with a team

Signals

I•••••• D•••••• left S•••••••• W••••• P•••••••• L••• for S•••••• F•••••••• G••••• L••••• (registered 2024-08-07)
May 24, 2024 · Advisor changed firm · fact
I•••••• D•••••• left W•••• F•••• A••••••• for S•••••••• W••••• P•••••••• L••• (registered 2024-02-05)
Oct 12, 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address