DFX Intelligence
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Registered advisor
L••• A•• W••••••
Feed of 09/15/2026
Also filed as L••• B••••••••• A•• O•••••
At current firm
5 y
since Aug 19, 2021
In the industry
29 y
since Mar 31, 1997 (earliest exam, job or registration)
Prior registered firms
5
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
- P•• W••••• M••••••••• BD affiliated currentsince Aug 19, 2021 · Plano, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Aug 17, 2021 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedAug 2, 2010 to Oct 15, 2010 · Richardson, Tx
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedJul 20, 2006 to Jul 26, 2010 · Dallas, Tx
- C••••••• A•••• M••••••••• I•• unclassifiedJul 10, 2003 to Feb 3, 2006 · Dallas, Tx
- O•••• F•• I••• formerAug 19, 1997 to Jul 23, 2002 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 19, 2021 (2 days) · corporate re-registration, not a move
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to S• J•••• W••••• M•••••••••left Jul 26, 2010, registered Aug 2, 2010 (7 days) · Other
- C••••••• A•••• M••••••••• I•• to B••• C•••••• I••••••••• S••••••••• I••left Feb 3, 2006, registered Jul 20, 2006 (167 days) · Other
- O•••• F•• I••• to C••••••• A•••• M••••••••• I••left Jul 23, 2002, registered Jul 10, 2003 (352 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address