DFX Intelligence
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Registered advisor
P••••••• P• S••••
Feed of 09/14/2026
Also filed as M•••• P••••••• S••••••••• P•••••••
At current firm
10 y
since Mar 4, 2016
In the industry
27 y
since Dec 17, 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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• A••••••• national BD currentsince Mar 4, 2016 · Houston, Tx
- I•• S••••••••• I••• unclassifiedSep 24, 2003 to Dec 31, 2004 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJul 17, 2001 to Jun 25, 2002 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- I•• S••••••••• I••• to P•••••••• A•••••••left Dec 31, 2004, registered Mar 4, 2016 (4081 days) · Other
- L•• F•••••••• L•• to I•• S••••••••• I•••left Jun 25, 2002, registered Sep 24, 2003 (456 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address