DFX Intelligence
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Registered advisor
G••• L•••• P•••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedCorpus Christi, Txdual registrantIAPD 1737860
Feed of 09/14/2026
Also filed as L•••• P•••••
At current firm
7 y
since Sep 11, 2019
In the industry
38 y
since Oct 5, 1987 (earliest exam, job or registration)
Prior registered firms
2
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 11, 2019 · Corpus Christi, Tx
- W•••• F•••• A••••••• wirehouseMar 20, 2008 to Sep 10, 2019 · Corpus Christi, Tx
- U•• F•••••••• S••••••• I••• wirehouseJul 28, 2000 to Apr 2, 2008 · Corpus Christi, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 10, 2019, registered Sep 11, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 2, 2008, registered Mar 20, 2008 (-13 days) · Wirehouse to wirehouse
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address