DFX Intelligence
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Registered advisor
R••••• R••• W••••••••
Feed of 09/15/2026
Also filed as R••• W••••••••
At current firm
17 y
since Apr 22, 2009
In the industry
39 y
since Aug 25, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- O••••••••• • C•• I••• BD affiliated currentsince Apr 22, 2009 · Houston, Tx
- S••••••• G•••• C•••••• unclassifiedApr 13, 2007 to Mar 11, 2009 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Apr 16, 2007 · Houston, Tx
- P••••••••• E••••• G••••• L•• unclassifiedAug 27, 1987 to Jul 1, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 11, 2009, registered Apr 22, 2009 (42 days) · Other
- W•••• F•••• A••••••• to S••••••• G•••• C••••••left Apr 16, 2007, registered Apr 13, 2007 (-3 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address