DFX Intelligence
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Registered advisor
M••••••• T•••••• T••••••••
Feed of 09/14/2026
Also filed as M••••••• T•••••• S••••••••• T•••••• S•••••••
At current firm
11 y
since Jun 9, 2015
In the industry
27 y
since Sep 2, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Jun 9, 2015 · Austin, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 29, 2013 to Jun 5, 2015 · Austin, Tx
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Aug 30, 2013 · Austin, Tx
- M••••• K••••• • C••••••• L•• formerMar 1, 2006 to Feb 13, 2013 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 3, 1999 to Mar 17, 2006 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Jun 5, 2015, registered Jun 9, 2015 (4 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 30, 2013, registered Aug 29, 2013 (-1 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Mar 17, 2006, registered Mar 1, 2006 (-16 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address