DFX Intelligence
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Registered advisor
E••• S••••
Feed of 09/14/2026
At current firm
1 y
since Nov 8, 2024
In the industry
29 y
since Nov 7, 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, 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
- W•••• F•••• A••••••• wirehouse currentsince Nov 8, 2024 · Frisco, Tx
- G••••••••• F•••••••• S•••••••• I••• unclassifiedJul 29, 2004 to May 9, 2014 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJun 27, 2003 to Jan 28, 2008 · Houston, Tx
- R•••••• J•••• • A••••••••• I••• national BDSep 24, 2001 to Jul 9, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- G••••••••• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 9, 2014, registered Nov 8, 2024 (3836 days) · Other
- L•• F•••••••• L•• to G••••••••• F•••••••• S•••••••• I•••left Jan 28, 2008, registered Jul 29, 2004 (-1278 days) · Other
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left Jul 9, 2003, registered Jun 27, 2003 (-12 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address