DFX Intelligence
RIA Intelligence
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Registered advisor
M••• W•••• E••••••
Feed of 09/15/2026
At current firm
14 y
since Oct 24, 2011
In the industry
39 y
since Sep 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 24, 2011 · Fort Worth, Tx
- H•••••• S••••••••• I••• BD affiliatedSep 23, 2009 to Nov 2, 2011 · Dallas, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 15, 2009 · Ft. Worth, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Jun 1, 2009 · Ft. Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- H•••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 2, 2011, registered Oct 24, 2011 (-9 days) · Other
- M••••• S•••••• to H•••••• S••••••••• I•••left Oct 15, 2009, registered Sep 23, 2009 (-22 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address