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•••• J•••• L•••••

C•••••• S••••• • C••• I•••national BDNew Braunfels, Tx dual registrantIAPD 6714404

Feed of 09/15/2026

Also filed as E•••• J•••• L•••••

At current firm

4 y

since May 24, 2022

In the industry

9 y

since Oct 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since May 24, 2022 · Westlake, Tx
V•••••• C•••••• M••••••••• I••• asset manager
Jun 3, 2021 to Apr 11, 2022 · San Antonio, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Aug 17, 2018 to Jul 5, 2019 · San Antonio, Tx
E••••• J•••• national BD
Apr 7, 2017 to Jul 19, 2017 · New Braunfels, Tx

Moves

a registration end followed by a registration begin elsewhere

V•••••• C•••••• M••••••••• I••• to C•••••• S••••• • C••• I•••
left Apr 11, 2022, registered May 24, 2022 (43 days) · Other
U••• I••••••••• S••••••• C•••••• to V•••••• C•••••• M••••••••• I•••
left Jul 5, 2019, registered Jun 3, 2021 (699 days) · corporate re-registration, not a move
E••••• J•••• to U••• I••••••••• S••••••• C••••••
left Jul 19, 2017, registered Aug 17, 2018 (394 days) · Affiliated broker-dealer or bank to another

Signals

E•••• J•••• L••••• left V•••••• C•••••• M••••••••• I••• for C•••••• S••••• • C••• I••• (registered 2022-05-24)
Apr 11, 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: National broker-dealer RIAderived
Years in industry: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address