DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• O••• W••••••
Feed of 09/15/2026
Also filed as R••••• W••••••
At current firm
3 y
since Aug 22, 2023
In the industry
28 y
since Mar 3, 1998 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Aug 22, 2023 · Burbank, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 4, 2011 to Sep 5, 2023 · Bryan, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 15, 2005 to Apr 19, 2011 · College Station, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 9, 2000 to Jul 29, 2005 · Bryan, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left Sep 5, 2023, registered Aug 22, 2023 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 19, 2011, registered May 4, 2011 (15 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 29, 2005, registered Jul 15, 2005 (-14 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 5, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address