DFX Intelligence
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Registered advisor
M•••••• E••••• F•••••
Feed of 09/15/2026
Also filed as M•••••• E••••• F•••••
At current firm
4 y
since Jan 14, 2022
In the industry
30 y
since May 10, 1996 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 14, 2022 · Southlake, Tx
- W•••• F•••• A••••••• wirehouseJan 8, 2016 to Jan 19, 2022 · Southlake, Tx
- U•• F•••••••• S••••••• I••• wirehouseAug 26, 2011 to Jan 19, 2016 · Ft. Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 7, 2003 to Aug 29, 2011 · Southlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 19, 2022, registered Jan 14, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 19, 2016, registered Jan 8, 2016 (-11 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 29, 2011, registered Aug 26, 2011 (-3 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 19, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address