DFX Intelligence
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Registered advisor
R••• G•••• B••••
Feed of 09/14/2026
Also filed as R••• D••••••••• G•••• D••••
At current firm
11 y
since Sep 16, 2015
In the industry
32 y
since Sep 30, 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
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 16, 2015 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 24, 2015 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 1, 2012 · Houston, Tx
- B••• O•• S••••••••• C••••••••• unclassifiedJun 9, 2005 to Jul 6, 2005 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 24, 2015, registered Sep 16, 2015 (23 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address