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.

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Registered advisor

S•••••• E•••••• P•••••

S•••• T••• P••••••• L••state registeredDallas, TxIA-onlyIAPD 803186

Feed of 09/14/2026

Also filed as Bodie P•••••

At current firm

17 y

since Jul 30, 2009

In the industry

47 y

since Jun 27, 1979 (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

S•••• T••• P••••••• L•• state registered current
since Jul 30, 2009 · Dallas, Tx
E••••• I••••••••• A••••••• unclassified
May 10, 2010 to May 25, 2010 · Austin, Tx
E••••• S••••••••• I••• unclassified
Jul 3, 2008 to May 25, 2010 · Dallas, Tx
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jul 23, 2008 · Plano, Tx
M••••• S•••••• D• I••• unclassified
Jun 4, 1991 to Apr 2, 2007 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

E••••• S••••••••• I••• to S•••• T••• P••••••• L••
left May 25, 2010, registered Jul 30, 2009 (-299 days) · Other
E••••• I••••••••• A••••••• to no registered destination
left May 25, 2010 · Departure, no registered destination
M••••• S•••••• • C•• L•• to E••••• S••••••••• I•••
left Jul 23, 2008, registered Jul 3, 2008 (-20 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: STATE REGISTEREDderived
Years in industry: 47derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address