DFX Intelligence
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Registered advisor
M•••••• B••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M••• B••••••••• B••••••••• B••••••••• B••••••••• B••••
At current firm
9 y
since Mar 25, 2017
In the industry
29 y
since Dec 30, 1996 (earliest exam, job or registration)
Prior registered firms
7
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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Austin, Tx
- M•• F•••••••• S•••••••• I••• formerMar 6, 2015 to Mar 25, 2017 · Austin, Tx
- P••• A••••• S••••••••• L•• BD affiliatedOct 31, 2011 to Mar 10, 2015 · Austin, Tx
- P•••• S••••••••• L•• no RAUMAug 12, 2011 to Aug 17, 2011 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerJul 7, 2010 to Jun 3, 2011 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedDec 19, 2008 to Oct 5, 2009 · Colorado Springs, Co
- S••••••• F•••••••• S•••••••• I••• formerMay 23, 2007 to Dec 23, 2008 · Colorado Springs, Co
- M•• F•••••••• S•••••••• I••• formerMay 11, 2001 to May 10, 2007 · Montgomery, Al
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 10, 2015, registered Mar 6, 2015 (-4 days) · Other
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Aug 17, 2011, registered Oct 31, 2011 (75 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Jun 3, 2011, registered Aug 12, 2011 (70 days) · Other
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 5, 2009, registered Jul 7, 2010 (275 days) · Other
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 23, 2008, registered Dec 19, 2008 (-4 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left May 10, 2007, registered May 23, 2007 (13 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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