DFX Intelligence
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Registered advisor
S••••• L•••• S••••
Feed of 09/14/2026
At current firm
19 y
since Jun 29, 2007
In the industry
28 y
since Feb 23, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Jun 29, 2007 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMay 9, 2006 to Jun 20, 2007 · San Antonio, Tx
- T• A••••••••• I••• formerSep 12, 2003 to Feb 1, 2006 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Jun 20, 2007, registered Jun 29, 2007 (9 days) · Other
- T• A••••••••• I••• to U••• F•••••••• P••••••• S•••••••left Feb 1, 2006, registered May 9, 2006 (97 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address