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••• L••• H•••

A••••••• W••••• A•••••••BD affiliatedGranbury, Txdual registrantIAPD 7326392

Feed of 09/14/2026

At current firm

0 y

since Feb 22, 2026

In the industry

24 y

since Oct 1, 2001 (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••••••• W••••• A••••••• BD affiliated current
since Feb 22, 2026 · Granbury, Tx
D•••••• L••• S••••• L•• former
Jan 7, 2026 to Feb 24, 2026 · Rome, Ga
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Nov 24, 2025 to Feb 26, 2026 · Granbury, Tx
D•••••• L••• S••••• L•• former
May 14, 2025 to Dec 31, 2025 · Granbury, Tx
A•••• A••••••••• S••••••••• L•• independent RIA
Jan 27, 2022 to May 14, 2025 · Farmington, Mi

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to D•••••• L••• S••••• L••
left Feb 26, 2026, registered Jan 7, 2026 (-50 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
D•••••• L••• S••••• L•• to A••••••• W••••• A•••••••
left Feb 24, 2026, registered Feb 22, 2026 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
D•••••• L••• S••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2025, registered Nov 24, 2025 (-37 days) · corporate re-registration, not a move
A•••• A••••••••• S••••••••• L•• to D•••••• L••• S••••• L••
left May 14, 2025, registered May 14, 2025 (0 days) · RIA to RIA

Signals

C••• L••• H••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for D•••••• L••• S••••• L•• (registered 2026-01-07)
Feb 26, 2026 · Advisor changed firm · fact
C••• L••• H••• left D•••••• L••• S••••• L•• for A••••••• W••••• A••••••• (registered 2026-02-22)
Feb 24, 2026 · Advisor changed firm · fact
C••• L••• H••• left A•••• A••••••••• S••••••••• L•• for D•••••• L••• S••••• L•• (registered 2025-05-14)
May 14, 2025 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address