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

D•••• L••• J••••••

R••••• W• B•••• • C•• I•••••••••mixed wealthDallas, Tx dual registrantIAPD 873008

Certified Financial Planner

Feed of 09/14/2026

Also filed as D•••• L••• Miller

At current firm

2 y

since Jul 18, 2024

In the industry

26 y

since May 30, 2000 (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••••• W• B•••• • C•• I••••••••• mixed wealth current
since Jul 18, 2024 · Dallas, Tx
S••••• L••• C•••••• P••••••• independent RIA
May 14, 2024 to Dec 2, 2024 · Dallas, Tx
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 2, 2009 to May 15, 2024 · Dallas, Tx
K••••• C••••••• L•• unclassified
Apr 2, 2008 to Dec 31, 2013 · Dallas, Tx
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Mar 5, 2008 to Jan 2, 2009 · Dallas, Tx
F•••• H•••••• A•••••••• I•• former
Sep 21, 2004 to Feb 15, 2008 · Dallas, Tx
Q•••• C•••••• M••••••••• I••• former
Jul 2, 2001 to Nov 30, 2004 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

S••••• L••• C•••••• P••••••• to R••••• W• B•••• • C•• I•••••••••
left Dec 2, 2024, registered Jul 18, 2024 (-137 days) · RIA to RIA
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••• L••• C•••••• P•••••••
left May 15, 2024, registered May 14, 2024 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
K••••• C••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 31, 2013, registered Jan 2, 2009 (-1824 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to K••••• C••••••• L••
left Jan 2, 2009, registered Apr 2, 2008 (-275 days) · Other
F•••• H•••••• A•••••••• I•• to R•••••• J•••• F•••••••• S•••••••• I•••
left Feb 15, 2008, registered Mar 5, 2008 (19 days) · Other
Q•••• C•••••• M••••••••• I••• to F•••• H•••••• A•••••••• I••
left Nov 30, 2004, registered Sep 21, 2004 (-70 days) · Other

Signals

D•••• L••• J•••••• left S••••• L••• C•••••• P••••••• for R••••• W• B•••• • C•• I••••••••• (registered 2024-07-18)
Dec 2, 2024 · Advisor changed firm · fact
D•••• L••• J•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for S••••• L••• C•••••• P••••••• (registered 2024-05-14)
May 15, 2024 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address