DFX Intelligence
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Registered advisor
T••••• A••• M•••••
Feed of 09/14/2026
Also filed as T••••• A••• C••••••••• A••• M••••••••• A••• M•••••••••
At current firm
14 y
since Dec 13, 2011
In the industry
31 y
since Apr 21, 1995 (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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 13, 2011 · Houston, Tx
- W••••••• F•••••••• S•••••••• I••• formerOct 13, 2010 to Dec 15, 2011 · Keller, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Jul 14, 2010 · Marshall, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedJan 26, 2004 to Jul 6, 2005 · Marshall, Tx
- M••••• S•••••• D• I••• unclassifiedNov 1, 2002 to Jan 5, 2004 · Shreveport, La
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 15, 2011, registered Dec 13, 2011 (-2 days) · Other
- C•••• I••••••••• S••••••• C•••• to W••••••• F•••••••• S•••••••• I•••left Jul 14, 2010, registered Oct 13, 2010 (91 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• O•• S••••••••• C•••••••••left Jan 5, 2004, registered Jan 26, 2004 (21 days) · Other
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address