DFX Intelligence
RIA Intelligence
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Registered advisor
P•••••• S•••• E•••••
Feed of 09/15/2026
At current firm
2 y
since Apr 1, 2024
In the industry
36 y
since Jul 13, 1990 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 1, 2024 · San Diego, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 29, 2015 to Apr 2, 2024 · Plano, Tx
- S•••••• W••••• P•••••••• L•• BD affiliatedFeb 6, 2013 to Mar 26, 2014 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedJan 16, 1998 to Jun 5, 2015 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Apr 2, 2024, registered Apr 1, 2024 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Jun 5, 2015, registered Feb 6, 2013 (-849 days) · Other
- S•••••• W••••• P•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 26, 2014, registered May 29, 2015 (429 days) · Other
Signals
- P•••••• S•••• E••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2024-04-01)Apr 2, 2024 · Advisor changed firm · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address