DFX Intelligence
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Registered advisor
E••••• L••• H•••••••••
Feed of 09/14/2026
Also filed as E••••• L••• H••••••••• H••••••••• H••••••••• H••••••••• L••• H•••••••••
At current firm
7 y
since Mar 15, 2019
In the industry
33 y
since Jun 10, 1993 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 15, 2019 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2009 to Mar 18, 2019 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 3, 2004 to Jan 21, 2009 · Dallas, Tx
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Oct 4, 2004 · Dallas, Tx
- P••••••• L•• unclassifiedJul 21, 1997 to Jan 17, 2003 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 18, 2019, registered Mar 15, 2019 (-3 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 21, 2009, registered Jan 2, 2009 (-19 days) · Other
- C••••• S••••• S••••••••• •••• L•• to C•••••••• G••••• M•••••• I•••left Oct 4, 2004, registered Sep 3, 2004 (-31 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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