DFX Intelligence
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Registered advisor
S••••• R•• A••••••
Feed of 09/14/2026
Also filed as S•••• A••••••
At current firm
5 y
since Dec 11, 2020
In the industry
34 y
since Sep 17, 1992 (earliest exam, job or registration)
Prior registered firms
5
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
- L•• F•••••••• L•• BD affiliated currentsince Dec 11, 2020 · Hurst, Tx
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Dec 10, 2020 · Hurst, Tx
- I••••••••• A••••••• S••••••• I•• formerDec 18, 2009 to Jul 17, 2020 · Fort Worth, Tx
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Dec 21, 2009 · Fort Worth, Tx
- M••• S••••••••• C••••••••• unclassifiedJul 5, 2002 to Jun 1, 2005 · Ft Worth, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 14, 2000 to Jun 13, 2002 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 10, 2020, registered Dec 11, 2020 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to I••••••••• A••••••• S••••••• I••left Dec 21, 2009, registered Dec 18, 2009 (-3 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••• S••••••••• C•••••••••left Jun 13, 2002, registered Jul 5, 2002 (22 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address