DFX Intelligence
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Registered advisor
A••• S••••••• B•••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as S••••• A••• S••••••••• A••• B•••••••• S• B•••••••• S••••••• B•••
At current firm
1 y
since May 6, 2025
In the industry
35 y
since Jan 29, 1991 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince May 6, 2025 · New Braunfels, Tx
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to May 8, 2025 · New Braunfels, Tx
- S••••••••• A•••••• A•••••••• I••• formerApr 22, 2014 to Jun 14, 2024 · New Braunfels, Tx
- S••••••• F•••••••• S•••••••• I••• formerFeb 26, 1991 to Apr 23, 2014 · New Braunfels, Tx
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••left May 8, 2025, registered May 6, 2025 (-2 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Apr 23, 2014, registered Apr 22, 2014 (-1 days) · Other
Signals
- ••• LockedMay 8, 2025 · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address