DFX Intelligence
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Registered advisor
C•••••• A•••••••• Z••••••••
Feed of 09/14/2026
Also filed as Z••• Z••••••••• A•••••••• J• Z••••••••
At current firm
14 y
since Jan 6, 2012
In the industry
44 y
since Nov 20, 1981 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jan 6, 2012 · Austin, Tx
- I••••••••• A••••••• I••••••••• I••• unclassifiedJul 17, 2006 to Jan 6, 2012 · Austin, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 10, 2002 to Aug 23, 2006 · Austin, Tx
- W•• I••••••••• A•••••••• I••• •••••• unclassifiedJan 7, 1999 to Jul 15, 2002 · Duluth, Ga
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Aug 23, 2006, registered Jul 17, 2006 (-37 days) · corporate re-registration, not a move
- W•• I••••••••• A•••••••• I••• •••••• to T••••••••• F•••••••• A•••••••• L••left Jul 15, 2002, registered Jul 10, 2002 (-5 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address