DFX Intelligence
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Registered advisor
M••• B•••• D•••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Jun 28, 2021
In the industry
34 y
since Aug 12, 1992 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• F•••••••• E•••••• independent RIA currentsince Jun 28, 2021 · Spring, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 6, 2018 to Jun 21, 2021 · Houston, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedJan 15, 2008 to Jun 16, 2017 · Covington, La
- U•• F•••••••• S••••••• I••• wirehouseMay 4, 2007 to Nov 29, 2007 · The Woodlands, Tx
- S•••••••• A••••••• L•• national BDJul 17, 1998 to May 14, 2007 · Spring, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to E•••••• F•••••••• E••••••left Jun 21, 2021, registered Jun 28, 2021 (7 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••left Nov 29, 2007, registered Jan 15, 2008 (47 days) · Other
- S•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left May 14, 2007, registered May 4, 2007 (-10 days) · Affiliated broker-dealer or bank to wirehouse
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address