DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• S•••••• R•••••••
Feed of 09/14/2026
Also filed as R•••••• S•••••• R•••••••
At current firm
15 y
since Nov 12, 2010
In the industry
34 y
since Apr 23, 1992 (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
- M••••• S•••••• wirehouse currentsince Nov 12, 2010 · San Antonio, Tx
- T•• Q••••••••• G••••• L••• unclassifiedSep 23, 2005 to Dec 31, 2011 · San Antonio, Tx
- W•• A•••••••• L• formerJul 1, 2004 to Nov 15, 2010 · San Antonio, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 30, 1996 to Jul 12, 2004 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- T•• Q••••••••• G••••• L••• to M••••• S••••••left Dec 31, 2011, registered Nov 12, 2010 (-414 days) · Other
- W•• A•••••••• L• to T•• Q••••••••• G••••• L•••left Nov 15, 2010, registered Sep 23, 2005 (-1879 days) · Other
- C•••••••• G••••• M•••••• I••• to W•• A•••••••• L•left Jul 12, 2004, registered Jul 1, 2004 (-11 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address