DFX Intelligence
RIA Intelligence
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Registered advisor
P••• R•••••• B••••••
Feed of 09/15/2026
Also filed as P••• R B••••••
At current firm
16 y
since Oct 5, 2009
In the industry
32 y
since Dec 9, 1993 (earliest exam, job or registration)
Prior registered firms
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2009 · Mckinney, Tx
- C•••••• L•• independent RIAMar 7, 2003 to Jul 10, 2003 · Dallas, Tx
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 21, 2002 to Oct 5, 2009 · Richardson, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to C•••••• L••left Oct 5, 2009, registered Mar 7, 2003 (-2404 days) · Other
- C•••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 10, 2003, registered Oct 5, 2009 (2279 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address