DFX Intelligence
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Registered advisor
G••• L•• S•••••
Feed of 09/14/2026
At current firm
14 y
since Jan 6, 2012
In the industry
33 y
since Dec 29, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jan 6, 2012 · Plano, Tx
- I••••••••• A••••••• I••••••••• I••• unclassifiedAug 9, 2006 to Jan 6, 2012 · Richardson, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 1, 2005 to Sep 5, 2006 · Richardson, Tx
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Sep 5, 2006, registered Aug 9, 2006 (-27 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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