DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• A•••• M••••
Feed of 09/14/2026
Also filed as D•••• A•••• M••••
At current firm
3 y
since Apr 27, 2023
In the industry
28 y
since Jun 1, 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
S65, 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••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Apr 27, 2023 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 30, 2019 to May 17, 2023 · Addison, Tx
- W•••• F•••• A••••••• wirehouseSep 22, 1998 to May 6, 2019 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left May 17, 2023, registered Apr 27, 2023 (-20 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 6, 2019, registered Apr 30, 2019 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address