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

P••••• J•••••• B•••••

R•••••• F••••• W••••• L••independent RIAPlano, Txdual registrantIAPD 835586

Feed of 09/14/2026

Also filed as Phil Brooks

At current firm

1 y

since Jan 18, 2025

In the industry

44 y

since Mar 2, 1982 (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

R•••••• F••••• W••••• L•• independent RIA current
since Jan 18, 2025 · Plano, Tx
X• W••••• M••••••••• former
Jan 16, 2025 to Feb 3, 2025 · Dallas, Tx
X• W••••• M••••••••• former
Apr 28, 2020 to Dec 31, 2024 · Addison, Tx
R•••••• J•••• • A••••••••• I••• national BD
Oct 26, 2007 to Apr 15, 2020 · Dallas, Tx
R•• C•••••• M••••••• L•• national BD
Jun 12, 2002 to Nov 13, 2007 · Frisco, Tx

Moves

a registration end followed by a registration begin elsewhere

X• W••••• M••••••••• to R•••••• F••••• W••••• L••
left Feb 3, 2025, registered Jan 18, 2025 (-16 days) · RIA to a newly registered adviser
R•••••• J•••• • A••••••••• I••• to X• W••••• M•••••••••
left Apr 15, 2020, registered Apr 28, 2020 (13 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Nov 13, 2007, registered Oct 26, 2007 (-18 days) · Affiliated broker-dealer or bank to another

Signals

P••••• J•••••• B••••• left X• W••••• M••••••••• for R•••••• F••••• W••••• L•• (registered 2025-01-18)
Feb 3, 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: Independent wealth managerderived
Years in industry: 44derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address