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

D••••• M••••••• Y••••

A••••• A•• P••••••• S•••••••BD affiliatedBedford, Tx dual registrantIAPD 7154940

Feed of 09/15/2026

Also filed as D••••• M••••••• Y••••

At current firm

0 y

since Mar 9, 2026

In the industry

23 y

since Jul 1, 2003 (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

A••••• A•• P••••••• S••••••• BD affiliated current
since Mar 9, 2026 · Bedford, Tx
F••••• I••••••••• independent RIA
Jun 14, 2024 to Mar 5, 2026 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 20, 2023 to Jun 4, 2024 · Fort Worth, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 7, 2022 to May 1, 2023 · Irving, Tx
J••• M••••• S••••••••• L•• wirehouse
Mar 3, 2021 to Dec 4, 2021 · San Antonio, Tx
A••••••• F•••••••• A•••••••• L•• BD affiliated
Sep 1, 2020 to Dec 3, 2020 · Arlington, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 6, 2019 to Aug 6, 2020 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to A••••• A•• P••••••• S•••••••
left Mar 5, 2026, registered Mar 9, 2026 (4 days) · RIA to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Jun 4, 2024, registered Jun 14, 2024 (10 days) · Wirehouse to independent RIA · moved with a team
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 1, 2023, registered Jun 20, 2023 (50 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
left Dec 4, 2021, registered Jul 7, 2022 (215 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
A••••••• F•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Dec 3, 2020, registered Mar 3, 2021 (90 days) · Affiliated broker-dealer or bank to wirehouse
A••••••••• F•••••••• S•••••••• L•• to A••••••• F•••••••• A•••••••• L••
left Aug 6, 2020, registered Sep 1, 2020 (26 days) · Affiliated broker-dealer or bank to another

Signals

D••••• M••••••• Y•••• left F••••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2026-03-09)
Mar 5, 2026 · Advisor changed firm · fact
D••••• M••••••• Y•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••• I••••••••• (registered 2024-06-14)
Jun 4, 2024 · Advisor changed firm · fact
D••••• M••••••• Y•••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-06-20)
May 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address