DFX Intelligence
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Registered advisor
F••••••• L••• A•••••••••
Feed of 09/14/2026
Also filed as F••••••• L••• A•••••••••
At current firm
12 y
since Nov 12, 2013
In the industry
38 y
since Oct 23, 1987 (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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 12, 2013 · San Antonio, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Nov 20, 2013 · San Antonio, Tx
- U•• I••••••••• I••• unclassifiedSep 4, 2007 to Jan 1, 2010 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2003 to Sep 7, 2007 · San Antonio, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 13, 1994 to Jun 12, 2003 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 20, 2013, registered Nov 12, 2013 (-8 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••left Sep 7, 2007, registered Sep 4, 2007 (-3 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 12, 2003, registered Jun 2, 2003 (-10 days) · Other
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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address