DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• H••••• M••••••
Feed of 09/14/2026
At current firm
8 y
since May 21, 2018
In the industry
27 y
since Mar 10, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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 May 21, 2018 · Houston, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 29, 2015 to May 31, 2018 · Houston, Tx
- H•••••• S••••••••• I••• BD affiliatedOct 12, 2007 to Jun 26, 2015 · Houston, Tx
- A• G• E•••••• • S•••• I••• unclassifiedJul 22, 2002 to Oct 22, 2007 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left May 31, 2018, registered May 21, 2018 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 26, 2015, registered May 29, 2015 (-28 days) · Other
- A• G• E•••••• • S•••• I••• to H•••••• S••••••••• I•••left Oct 22, 2007, registered Oct 12, 2007 (-10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address