DFX Intelligence
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Registered advisor
E••• L•••• P••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
6 y
since Jan 20, 2020
In the industry
43 y
since Nov 9, 1982 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 20, 2020 · Temple, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 23, 2020 · Temple, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Temple, Tx
- M••••• S•••••• D• I••• unclassifiedAug 23, 1983 to Apr 2, 2007 · Temple, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 23, 2020, registered Jan 20, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- 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 signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address