DFX Intelligence
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Registered advisor
R•••••• C••••• M••••••
Feed of 09/14/2026
Also filed as R•••••• C••••• M••••••••• M••••••
At current firm
9 y
since Nov 28, 2016
In the industry
29 y
since May 7, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Nov 28, 2016 · Phoenix, Az
- H•••••• S••••••••• I••• BD affiliatedJan 8, 2003 to Jun 28, 2004 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- H•••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Jun 28, 2004, registered Nov 28, 2016 (4536 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address