DFX Intelligence
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Registered advisor
D•••• E•••••••• P••••
Feed of 09/14/2026
Also filed as D•••• E•••••••• G••••••••• E• P••••
At current firm
2 y
since Mar 22, 2024
In the industry
31 y
since Jul 31, 1995 (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
S63, S65
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 Mar 22, 2024 · Corpus Christi, Tx
- W•••• F•••• A••••••• wirehouseMay 25, 2012 to Mar 27, 2024 · Corpus Christi, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 19, 2007 to Jun 4, 2012 · Corpus Christi, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 13, 2000 to Feb 1, 2007 · Corpus Christi, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 27, 2024, registered Mar 22, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jun 4, 2012, registered May 25, 2012 (-10 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 1, 2007, registered Jan 19, 2007 (-13 days) · Other
Signals
- ••• LockedMar 27, 2024 · Advisor changed firm · fact
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address