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

O•••••• S•••• O••••

O• I•••••••••state registeredHouston, TxIA-onlyIAPD 6735278

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as S•••• O••••

At current firm

3 y

since Jan 3, 2023

In the industry

10 y

since Jul 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O• I••••••••• state registered current
since Jan 3, 2023 · Houston, Tx
E••••• J•••• national BD
Jul 17, 2023 to Sep 27, 2023 · St. Louis, Mo
F••••••• P••••••• A•• W•••••••• A••••••• former
Feb 8, 2022 to Nov 2, 2022 · Westlake, Tx
C•••••• S••••• • C••• I••• national BD
Apr 19, 2021 to Oct 18, 2021 · Sugar Land, Tx
R••••• W• B•••• • C•• I••••••••• mixed wealth
Mar 2, 2020 to Apr 6, 2021 · Milwaukee, Wi
M••••• S•••••• wirehouse
Jan 24, 2018 to Sep 27, 2019 · Sugar Land, Tx
J••• M••••• S••••••••• L•• wirehouse
Aug 23, 2017 to Jan 30, 2018 · Houston, Tx
W•••• F•••• A••••••• wirehouse
Mar 13, 2017 to Aug 9, 2017 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to no registered destination
left Sep 27, 2023 · Departure, no registered destination
F••••••• P••••••• A•• W•••••••• A••••••• to O• I•••••••••
left Nov 2, 2022, registered Jan 3, 2023 (62 days) · Affiliated broker-dealer or bank to a state-registered adviser
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 18, 2021, registered Feb 8, 2022 (113 days) · Affiliated broker-dealer or bank to another · moved with a team
R••••• W• B•••• • C•• I••••••••• to C•••••• S••••• • C••• I•••
left Apr 6, 2021, registered Apr 19, 2021 (13 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••
left Sep 27, 2019, registered Mar 2, 2020 (157 days) · Wirehouse to independent RIA
J••• M••••• S••••••••• L•• to M••••• S••••••
left Jan 30, 2018, registered Jan 24, 2018 (-6 days) · Wirehouse to wirehouse
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Aug 9, 2017, registered Aug 23, 2017 (14 days) · Wirehouse to wirehouse

Signals

O•••••• S•••• O•••• no longer registered at E••••• J••••; no later IA registration on IAPD
Sep 27, 2023 · Advisor departure · fact
O•••••• S•••• O•••• left F••••••• P••••••• A•• W•••••••• A••••••• for O• I••••••••• (registered 2023-01-03)
Nov 2, 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: STATE REGISTEREDderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address