DFX Intelligence

RIA Intelligence

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This advisor's name

Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

A Financial Advisor In Texas

Registered advisorat Charles Schwab & Co., Inc.Dual registrant· Westlake, TxIAPD 2493849
At current firm
4 y
since Jan 26, 2022
In the industry
32.3 y
Prior registered firms
2
Signals
0
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
  • Registered at a home office or regional hub (100+ registrants); office-level movement is not read for this advisor.
Recruiting value
  • Practice attractivenesssome
    32.3 years in the industry
  • Team depthnone
    0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
  • Entrepreneurial profilenone
    Named in the full brief.
  • Real estate activitynone
    Named in the full brief.
  • Contactabilityweak
    no contact route found
Movement evidence
  • Movement signalnone
    0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
  • Recent change activitynone
    Named in the full brief.
  • Independence preparationnone
    No concrete evidence of preparation for independence.
  • Historical mobilitynone
    1 prior firm, median stay 15.8 years. Patterns that went with staying: thirty or more years in the industry.
Career
  • 32.3 years in the industry
  • 4.7 years at the current firm
  • 1 prior registered firm; median stay 15.8 years
  • retention indicatorthirty or more years in the industryAt BROKERAGE_ADVISORY, 2.8% with this moved within a year, against 4.5% without it (0.61x, 2023 to 2025 cohorts).
  • weak retention associationmedian tenure at prior firms eight years or moreAt BROKERAGE_ADVISORY, 4.0% with this moved within a year, against 5.3% without it (0.74x, 2023 to 2025 cohorts).
Source: IAPD adviser registrations only (broker-only history is not in this feed)
Licensing and credentials
  • Registered in 1 state (firm median 1)
  • Exams: Series 63, Series 66
  • Registered as a broker as well as an adviser
Source: IAPD individual feed; broker exams and states appear once the per-person record is read
Around this advisor
  • No recent movement observed around this advisor.
Regulatory record

In the full brief, with the official record linked.

+3 details in the full brief

The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.

Includes 3 days of DFX Intelligence. Then $249/month unless canceled.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
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
Brokerage advisory programderived
Years in industry
32.3 yderivedfrom the earlier of the first exam and the first registration on IAPD
Not published
disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote