DFX Intelligence
RIA Intelligence
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Registered advisor
M••• A••••• F••••••
Feed of 09/14/2026
At current firm
13 y
since Jan 10, 2013
In the industry
31 y
since Sep 13, 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
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
- F•••• W••••• A•••••••• L•• independent RIA currentsince Jan 10, 2013 · Houston, Tx
- C•••••• W••••• M••••••••• formerMar 31, 2011 to Jul 15, 2013 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseNov 4, 2004 to Apr 5, 2011 · Houston, Tx
- M••••• S•••••• D• I••• unclassifiedSep 14, 1995 to Nov 1, 2004 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• W••••• M••••••••• to F•••• W••••• A•••••••• L••left Jul 15, 2013, registered Jan 10, 2013 (-186 days) · Other
- W•••• F•••• A••••••• to C•••••• W••••• M•••••••••left Apr 5, 2011, registered Mar 31, 2011 (-5 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Nov 1, 2004, registered Nov 4, 2004 (3 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address