DFX Intelligence
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Registered advisor
N•••• N••• M••••••
Feed of 09/14/2026
At current firm
17 y
since Mar 13, 2009
In the industry
42 y
since Sep 6, 1984 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O••••••••• • C•• I••• BD affiliated currentsince Mar 13, 2009 · Houston, Tx
- S••••••• G•••• C•••••• unclassifiedNov 1, 2007 to Mar 16, 2009 · Houston, Tx
- B•• I••••••••• C••••• I••• unclassifiedDec 2, 2005 to Nov 1, 2007 · Houston, Tx
- P••••••• L•• unclassifiedJan 21, 2004 to Dec 13, 2005 · Houston, Tx
- L••••••• F•••••••• S•••••••• I••• unclassifiedAug 9, 1996 to Dec 13, 2005 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 16, 2009, registered Mar 13, 2009 (-3 days) · Other
- B•• I••••••••• C••••• I••• to S••••••• G•••• C••••••left Nov 1, 2007, registered Nov 1, 2007 (0 days) · Other
- L••••••• F•••••••• S•••••••• I••• to B•• I••••••••• C••••• I•••left Dec 13, 2005, registered Dec 2, 2005 (-11 days) · Other
- P••••••• L•• to B•• I••••••••• C••••• I•••left Dec 13, 2005, registered Dec 2, 2005 (-11 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address