DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
At current firm
8 y
since Oct 18, 2017
In the industry
27 y
since May 28, 1999 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- F••••• I••••••••• independent RIA currentsince Oct 18, 2017 · Plano, Tx
- E•••••• C•••••• M••••••••• L•• formerApr 7, 2015 to Oct 5, 2017 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseMar 13, 2013 to Apr 8, 2015 · Richardson, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 12, 2013 · Richardson, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 13, 2010 to Oct 1, 2012 · Plano, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 2, 2009 to Jun 21, 2010 · Addison, Tx
- E••••• J•••• national BDMay 9, 2008 to Nov 13, 2008 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to F••••• I•••••••••left Oct 5, 2017, registered Oct 18, 2017 (13 days) · Other
- J••• M••••• S••••••••• L•• to E•••••• C•••••• M••••••••• L••left Apr 8, 2015, registered Apr 7, 2015 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Jun 21, 2010, registered Jul 13, 2010 (22 days) · Other
- E••••• J•••• to V•••• F•••••••• A•••••••• I•••left Nov 13, 2008, registered Mar 2, 2009 (109 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address