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

Z•••••• J••• P•••••

S••••• W••••• A•••••••• I•••no RAUMWestlake, Tx dual registrantIAPD 6924721

Certified Financial Planner

Feed of 09/15/2026

Also filed as Z•••••• J••• P•••••

At current firm

1 y

since Sep 11, 2025

In the industry

11 y

since May 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••••• W••••• A•••••••• I••• no RAUM current
since Sep 11, 2025 · Westlake, Tx
V••••••• A•••••••• I••• BD affiliated
Jul 28, 2023 to Sep 8, 2025 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
Feb 7, 2022 to Jul 24, 2023 · Houston, Tx
M••••• G••••• A••••••• I••• independent RIA
Sep 2, 2021 to Jan 25, 2022 · Denver, Co
E•••••• C•••••• M••••••••• L•• former
Dec 16, 2019 to Aug 23, 2021 · Houston, Tx
J••• M••••• S••••••••• L•• wirehouse
May 8, 2019 to Dec 26, 2019 · Houston, Tx
E••••• J•••• national BD
Jun 1, 2018 to Apr 11, 2019 · Katy, Tx

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to S••••• W••••• A•••••••• I•••
left Sep 8, 2025, registered Sep 11, 2025 (3 days) · Other
C•••••• S••••• • C••• I••• to V••••••• A•••••••• I•••
left Jul 24, 2023, registered Jul 28, 2023 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
M••••• G••••• A••••••• I••• to C•••••• S••••• • C••• I•••
left Jan 25, 2022, registered Feb 7, 2022 (13 days) · RIA to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• G••••• A••••••• I•••
left Aug 23, 2021, registered Sep 2, 2021 (10 days) · RIA to RIA
J••• M••••• S••••••••• L•• to E•••••• C•••••• M••••••••• L••
left Dec 26, 2019, registered Dec 16, 2019 (-10 days) · Wirehouse to independent RIA
E••••• J•••• to J••• M••••• S••••••••• L••
left Apr 11, 2019, registered May 8, 2019 (27 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

Z•••••• J••• P••••• left V••••••• A•••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2025-09-11)
Sep 8, 2025 · Advisor changed firm · fact
Z•••••• J••• P••••• left C•••••• S••••• • C••• I••• for V••••••• A•••••••• I••• (registered 2023-07-28)
Jul 24, 2023 · Advisor changed firm · fact
Z•••••• J••• P••••• left M••••• G••••• A••••••• I••• for C•••••• S••••• • C••• I••• (registered 2022-02-07)
Jan 25, 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: No RAUM reportedderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address