DFX Intelligence
RIA Intelligence
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Registered advisor
C••• L••• L•••
Feed of 09/14/2026
Also filed as C••• L••• L•••
At current firm
4 y
since Dec 20, 2021
In the industry
25 y
since Apr 11, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 20, 2021 · Arlington, Tx
- R•••••• J•••• • A••••••••• I••• national BDAug 3, 2006 to Dec 22, 2021 · Fort Worth, Tx
- A• G• E•••••• • S•••• I••• unclassifiedAug 30, 2005 to Jan 27, 2006 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 22, 2021, registered Dec 20, 2021 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- A• G• E•••••• • S•••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 27, 2006, registered Aug 3, 2006 (188 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address