DFX Intelligence
RIA Intelligence
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Registered advisor
G•••• G••••• E•••••••
Feed of 09/15/2026
At current firm
18 y
since May 27, 2008
In the industry
29 y
since May 16, 1997 (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
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince May 27, 2008 · Corpus Christi, Tx
- I••• S••••••••• I••• unclassifiedApr 11, 2007 to Jan 31, 2008 · Corpus Christi, Tx
- I••••••••• P••••••••• I••• formerMar 8, 2006 to Apr 11, 2007 · Corpus Christi, Tx
- M••••• S•••••• D• I••• unclassifiedMay 19, 1997 to Aug 29, 2005 · Corpus Chris, Tx
Moves
a registration end followed by a registration begin elsewhere
- I••• S••••••••• I••• to L•• F•••••••• L••left Jan 31, 2008, registered May 27, 2008 (117 days) · Other
- I••••••••• P••••••••• I••• to I••• S••••••••• I•••left Apr 11, 2007, registered Apr 11, 2007 (0 days) · Other
- M••••• S•••••• D• I••• to I••••••••• P••••••••• I•••left Aug 29, 2005, registered Mar 8, 2006 (191 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
- 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