DFX Intelligence
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Registered advisor
M••• A•• P•••••
Feed of 09/14/2026
Also filed as M••• S•••••••• S••• P••••••••• S••• C••••••••• S••• P••••••••• A•• P••••••••• P•••••
At current firm
5 y
since Sep 15, 2021
In the industry
36 y
since Feb 27, 1990 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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
- V••••••• A•••••••• I••• BD affiliated currentsince Sep 15, 2021 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDFeb 19, 2020 to Jun 30, 2021 · Mckinney, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 26, 2018 to Feb 14, 2020 · Melissa, Tx
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 16, 2018 · Frisco, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Oct 16, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerApr 29, 2016 to Feb 26, 2018 · Saint Louis, Mo
- E••••• J•••• national BDJun 5, 2008 to Sep 1, 2010 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to V••••••• A•••••••• I•••left Jun 30, 2021, registered Sep 15, 2021 (77 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Feb 14, 2020, registered Feb 19, 2020 (5 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 16, 2018, registered Feb 27, 2018 (-231 days) · Other · moved with a team
- T• A••••••••• I••• to C••••• I••••••••• A••••••• L••left Oct 16, 2018, registered Oct 26, 2018 (10 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to S•••••••• I••••••••• M•••••••••left Sep 1, 2010, registered Apr 29, 2016 (2067 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address