DFX Intelligence
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Registered advisor
L••• O•••••• C•••••
Feed of 09/14/2026
Also filed as L••• C••••••••• L• C••••••••• C••••••• O••••••••• L••••• C••••••••• L• O••••••
At current firm
6 y
since Dec 17, 2019
In the industry
30 y
since Jun 13, 1996 (earliest exam, job or registration)
Prior registered firms
5
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 17, 2019 · Houston, Tx
- M••••• S•••••• wirehouseFeb 6, 2014 to Jun 1, 2017 · Houston, Tx
- R••••• W• B•••• • C•• I••••••••• mixed wealthJun 17, 2013 to Feb 5, 2014 · Houston - Memorial City, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 28, 2011 to Jun 28, 2013 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 22, 2011 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 30, 2007 to Jun 1, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 1, 2017, registered Dec 17, 2019 (929 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R••••• W• B•••• • C•• I••••••••• to M••••• S••••••left Feb 5, 2014, registered Feb 6, 2014 (1 days) · Other
- U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Jun 28, 2013, registered Jun 17, 2013 (-11 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 22, 2011, registered Nov 28, 2011 (6 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address