DFX Intelligence
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Registered advisor
A•• S••••••••• S••••
Feed of 09/15/2026
Also filed as A•• T•••••• S•••••••••
At current firm
7 y
since Jul 16, 2019
In the industry
33 y
since Apr 1, 1993 (earliest exam, job or registration)
Prior registered firms
1
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
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jul 16, 2019 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 23, 2002 to Jul 18, 2019 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to S•••••• P••••••• I••••••••• A•••••••• L••left Jul 18, 2019, registered Jul 16, 2019 (-2 days) · Wirehouse to independent RIA · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address