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

R••••• M•••••••

S••••• W••••• A•••••••• I•••no RAUMWestlake, Txdual registrantIAPD 7260791

Feed of 09/14/2026

Also filed as R••••• M•••••••

At current firm

1 y

since Jul 26, 2025

In the industry

12 y

since Sep 1, 2014 (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 Jul 26, 2025 · Westlake, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 23, 2024 to Jun 19, 2025 · Dallas, Tx
V••••••• A•••••••• I••• BD affiliated
Apr 8, 2022 to Oct 17, 2024 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 10, 2021 to Mar 9, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••
left Jun 19, 2025, registered Jul 26, 2025 (37 days) · Other
V••••••• A•••••••• I••• to J••• M••••• S••••••••• L••
left Oct 17, 2024, registered Oct 23, 2024 (6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••
left Mar 9, 2022, registered Apr 8, 2022 (30 days) · Wirehouse to affiliated broker-dealer or bank

Signals

R••••• M••••••• left J••• M••••• S••••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-07-26)
Jun 19, 2025 · Advisor changed firm · fact
R••••• M••••••• left V••••••• A•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-10-23)
Oct 17, 2024 · Advisor changed firm · fact
R••••• M••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for V••••••• A•••••••• I••• (registered 2022-04-08)
Mar 9, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address