DFX Intelligence
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Registered advisor
S•••• D•••• M••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
9 y
since Aug 22, 2017
In the industry
40 y
since Jun 26, 1986 (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
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
- E•••• M•••••••• • M•••••••• L•• independent RIA currentsince Aug 22, 2017 · Stafford, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Oct 5, 2017 · Saint Petersburg, Fl
- E••••• M•••••••• • M••••••• unclassifiedApr 29, 2004 to Jun 11, 2014 · Stafford , Tx
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 4, 1999 to Jan 2, 2009 · Stafford, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E•••• M•••••••• • M•••••••• L••left Oct 5, 2017, registered Aug 22, 2017 (-44 days) · Other · moved with a team
- E••••• M•••••••• • M••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 11, 2014, registered Jan 2, 2009 (-1986 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to E••••• M•••••••• • M•••••••left Jan 2, 2009, registered Apr 29, 2004 (-1709 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address