DFX Intelligence
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Registered advisor
S••••• P•••• C•••••
Feed of 09/14/2026
Also filed as S••••• A••• P••••••••• A••• D••••••••• A••• C••••••••• A• P••••••••• A••• P••••••••• P•••• C••••••••• A••• P••••
At current firm
4 y
since Aug 2, 2022
In the industry
28 y
since Sep 14, 1998 (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, S65
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••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 2, 2022 · River Ridge, La
- A••••••••• F•••••••• S•••••••• L•• national BDOct 9, 2014 to Feb 7, 2022 · New Orleans, La
- R•••••• J•••• • A••••••••• I••• national BDJul 29, 2013 to Sep 10, 2014 · New Orleans, La
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 10, 2009 to Aug 4, 2011 · New Orleans, La
- L•• F•••••••• L•• BD affiliatedOct 27, 2004 to Aug 18, 2009 · New Orleans, La
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 7, 2022, registered Aug 2, 2022 (176 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 10, 2014, registered Oct 9, 2014 (29 days) · Affiliated broker-dealer or bank to another
- T••••••••• F•••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Aug 4, 2011, registered Jul 29, 2013 (725 days) · Other
- L•• F•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Aug 18, 2009, registered Sep 10, 2009 (23 days) · Other
Signals
- ••• LockedFeb 7, 2022 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address