DFX Intelligence
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Registered advisor
S•••• A•••••• S••••••••
Feed of 09/14/2026
Also filed as S•••• A•••••• S••••••••
At current firm
14 y
since Dec 20, 2011
In the industry
28 y
since May 8, 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
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 Dec 20, 2011 · Austin, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 6, 2003 to Dec 21, 2011 · Austin, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 4, 2001 to Jun 12, 2003 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Dec 21, 2011, registered Dec 20, 2011 (-1 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T••••••••• F•••••••• A•••••••• L••left Jun 12, 2003, registered Jun 6, 2003 (-6 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address