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

U•••••• C••••••••

A••••• A•• P••••••• S•••••••BD affiliatedRichardson, Tx dual registrantIAPD 7169601

Feed of 09/15/2026

At current firm

1 y

since Jan 16, 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

S65, S63

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 Jan 16, 2025 · Richardson, Tx
F••••• I••••••••• independent RIA
Jun 14, 2024 to Dec 10, 2024 · Plano, Tx
M••••• S•••••• wirehouse
Sep 5, 2023 to Jun 4, 2024 · Dallas, Tx
E•••••• C•••••• M••••••••• L•• former
Jul 23, 2021 to Sep 5, 2023 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to A••••• A•• P••••••• S•••••••
left Dec 10, 2024, registered Jan 16, 2025 (37 days) · RIA to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to F••••• I•••••••••
left Jun 4, 2024, registered Jun 14, 2024 (10 days) · Wirehouse to independent RIA
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move

Signals

U•••••• C•••••••• left F••••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2025-01-16)
Dec 10, 2024 · Advisor changed firm · fact
U•••••• C•••••••• left M••••• S•••••• for F••••• I••••••••• (registered 2024-06-14)
Jun 4, 2024 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address