DFX Intelligence
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Registered advisor
R••••• S••••• M•••••
Feed of 09/14/2026
Also filed as R••••• S••••• M••••••••• S••••• M•••••
At current firm
9 y
since Dec 6, 2016
In the industry
34 y
since Oct 14, 1991 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- P•••••••• S••••••••• I••• BD affiliated currentsince Dec 6, 2016 · Edmond, Ok
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 24, 2014 to Jun 16, 2015 · Houston, Tx
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 13, 2007 to Sep 22, 2014 · Williamsport, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Jun 16, 2015, registered Dec 6, 2016 (539 days) · Other
- T••••••• I••••••••• M••••••••• I••• to M•• I•••••••• S•••••••• L••left Sep 22, 2014, registered Nov 24, 2014 (63 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