DFX Intelligence
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Feed of 09/14/2026
Also filed as D•• P••••••• M••••••••• P••••••• M••••••••
At current firm
2 y
since Jun 14, 2024
In the industry
32 y
since Aug 3, 1994 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jun 14, 2024 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 15, 2007 to Jun 25, 2024 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jun 19, 2007 · Austin, Tx
- P••••••••• E••••• G••••• L•• unclassifiedJan 12, 2001 to Jul 1, 2003 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 25, 2024, registered Jun 14, 2024 (-11 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jun 19, 2007, registered Jun 15, 2007 (-4 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedJun 25, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address