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

C•••• W•••••• M••••• B••••

F••••• I•••••••••independent RIAPlano, Tx IA-onlyIAPD 7144284

Feed of 09/14/2026

Also filed as C•••• W•••••• M••••• B••••

At current firm

1 y

since Oct 15, 2024

In the industry

11 y

since Aug 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

F••••• I••••••••• independent RIA current
since Oct 15, 2024 · Plano, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Aug 4, 2023 to Oct 14, 2024 · Jacksonville, Fl
S••••••• F•••••••• S•••••••• I••• former
Jul 6, 2023 to Aug 10, 2023 · St. Paul, Mn
P•••• S••••••••• L•• no RAUM
Jan 31, 2022 to Jun 26, 2023 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 11, 2020 to Jan 19, 2022 · Riverside, Ri

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to F••••• I•••••••••
left Oct 14, 2024, registered Oct 15, 2024 (1 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 10, 2023, registered Aug 4, 2023 (-6 days) · corporate re-registration, not a move
P•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Jun 26, 2023, registered Jul 6, 2023 (10 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••
left Jan 19, 2022, registered Jan 31, 2022 (12 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C•••• W•••••• M••••• B•••• left C••••• I••••••••• A••••••• L•• for F••••• I••••••••• (registered 2024-10-15)
Oct 14, 2024 · Advisor changed firm · fact
C•••• W•••••• M••••• B•••• left P•••• S••••••••• L•• for S••••••• F•••••••• S•••••••• I••• (registered 2023-07-06)
Jun 26, 2023 · Advisor changed firm · fact
C•••• W•••••• M••••• B•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••• S••••••••• L•• (registered 2022-01-31)
Jan 19, 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address