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

S••• S•••• D•••••••

C••••••• P•••••••independent RIAHelotes, Tx IA-onlyIAPD 7411961

Feed of 09/14/2026

At current firm

1 y

since Aug 20, 2025

In the industry

10 y

since Dec 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

C••••••• P••••••• independent RIA current
since Aug 20, 2025 · Overland Park, Ks
K••••• A••••••• S•••••••• L•• BD affiliated
Nov 27, 2023 to Jul 24, 2025 · Austin, Tx
4• F•••••••• independent RIA
Jan 4, 2023 to Oct 3, 2023 · Austin, Tx
T••••••• A•••••• N••••••• L•• BD affiliated
Apr 22, 2022 to Dec 31, 2022 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to C••••••• P•••••••
left Jul 24, 2025, registered Aug 20, 2025 (27 days) · Affiliated broker-dealer or bank to independent RIA
4• F•••••••• to K••••• A••••••• S•••••••• L••
left Oct 3, 2023, registered Nov 27, 2023 (55 days) · RIA to affiliated broker-dealer or bank
T••••••• A•••••• N••••••• L•• to 4• F••••••••
left Dec 31, 2022, registered Jan 4, 2023 (4 days) · corporate re-registration, not a move

Signals

S••• S•••• D••••••• left K••••• A••••••• S•••••••• L•• for C••••••• P••••••• (registered 2025-08-20)
Jul 24, 2025 · a•••••• firm change · fact
S••• S•••• D••••••• left 4• F•••••••• for K••••• A••••••• S•••••••• L•• (registered 2023-11-27)
Oct 3, 2023 · a•••••• firm change · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address