DFX Intelligence
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Registered advisor
F•••••••• S•••••• R•••
Feed of 09/15/2026
Also filed as F•••• S••••••••• B••••••• S••••••••• S••••••••• B••••••• S••••••••• B• S•••••• R••••••••• S••••••••• B••••••• S••••••••• B••••••• S•••••• R•••
At current firm
3 y
since Oct 4, 2022
In the industry
32 y
since Apr 20, 1994 (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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 4, 2022 · Lone Tree, Co
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 24, 2012 to Jun 29, 2018 · Fort Worth, Tx
- T• A••••••••• I••• formerOct 24, 2012 to Oct 14, 2022 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 4, 2022 (-10 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 29, 2018, registered Oct 24, 2012 (-2074 days) · channel change inside one enterprise, not a move · moved with a team
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
- 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