DFX Intelligence
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Registered advisor
C•••• T••••• V•••••••••
Feed of 09/14/2026
At current firm
19 y
since Dec 8, 2006
In the industry
33 y
since Apr 23, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
5
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 8, 2006 · Beaumont, Tx
- M••••• S•••••• D• I••• unclassifiedDec 13, 2002 to Nov 15, 2006 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 16, 1999 to Dec 17, 2002 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Nov 15, 2006, registered Dec 8, 2006 (23 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Dec 17, 2002, registered Dec 13, 2002 (-4 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address