DFX Intelligence
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Registered advisor
B•••• E••• T•••••
Feed of 09/14/2026
At current firm
5 y
since Jan 7, 2021
In the industry
28 y
since Jul 27, 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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 7, 2021 · Austin, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 19, 2006 to Aug 18, 2006 · Round Rock, Tx
- U••• B•••••• A•••••••• L•• BD affiliatedDec 8, 2003 to Mar 17, 2006 · Temecula, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Aug 18, 2006, registered Jan 7, 2021 (5256 days) · Other
- U••• B•••••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 17, 2006, registered May 19, 2006 (63 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