DFX Intelligence
RIA Intelligence
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Registered advisor
B••• D•••• S••••••
Feed of 09/15/2026
At current firm
17 y
since Oct 30, 2008
In the industry
29 y
since Nov 27, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 30, 2008 · Lafayette, La
- I••••••••• P••••••••• I••• formerOct 16, 2007 to Oct 31, 2008 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseFeb 17, 2006 to Sep 14, 2007 · Lafayette, La
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 2, 2006 to Feb 22, 2006 · Lafayette, La
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• P••••••••• I••• to L•• F•••••••• L••left Oct 31, 2008, registered Oct 30, 2008 (-1 days) · Other
- W•••• F•••• A••••••• to I••••••••• P••••••••• I•••left Sep 14, 2007, registered Oct 16, 2007 (32 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to W•••• F•••• A•••••••left Feb 22, 2006, registered Feb 17, 2006 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address