DFX Intelligence
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Registered advisor
M•••••• T•••
Feed of 09/14/2026
Also filed as M•••••• S•••• T•••••••• T••••••••• T•••
At current firm
4 y
since Jan 14, 2022
In the industry
30 y
since Sep 1, 1996 (earliest exam, job or registration)
Prior registered firms
3
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
- V••••••• A•••••••• I••• BD affiliated currentsince Jan 14, 2022 · Plano, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jul 9, 2021 · Boston, Ma
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedApr 25, 2006 to Mar 28, 2007 · Westlake, Tx
- S•••••••• A••••••• L•• national BDMar 20, 2001 to Jul 13, 2018 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to V••••••• A•••••••• I•••left Jul 9, 2021, registered Jan 14, 2022 (189 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Jul 13, 2018, registered Apr 25, 2006 (-4462 days) · Other · moved with a team
- F••••••• P••••••• T•••• C••••••• F•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 28, 2007, registered Jul 13, 2018 (4125 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address