DFX Intelligence
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Registered advisor
E••••• R•••••• R••
Feed of 09/14/2026
Also filed as E• R•••••• •••• R••••••• R•••• R•••••• R••••••••• R•••••• R••
At current firm
1 y
since Aug 22, 2025
In the industry
32 y
since Sep 29, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Aug 22, 2025 · Plano, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 1, 2014 to Aug 25, 2025 · Plano, Tx
- R•••••• J•••• • A••••••••• I••• national BDApr 30, 2007 to Aug 5, 2014 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 19, 1999 to May 1, 2007 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to O•••• W•••••• I•••left Aug 25, 2025, registered Aug 22, 2025 (-3 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 5, 2014, registered Aug 1, 2014 (-4 days) · Affiliated broker-dealer or bank to another
- B••• O• A•••••• I••••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 1, 2007, registered Apr 30, 2007 (-1 days) · Other
Signals
- ••• LockedAug 25, 2025 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address