DFX Intelligence
RIA Intelligence
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Registered advisor
A••••• R••••
Feed of 09/14/2026
At current firm
4 y
since Sep 27, 2021
In the industry
27 y
since Jul 7, 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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 27, 2021 · Euless, Tx
- R•••••• J•••• • A••••••••• I••• national BDAug 14, 2015 to Sep 14, 2021 · Irving, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 7, 2012 to Dec 31, 2013 · Plano, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 27, 2011 to Jul 8, 2011 · Dallas, Tx
- W•••••• • R••• formerSep 27, 2005 to Jan 14, 2011 · Denver, Co
- E•••••••• A•••••••• L•• national BDMay 4, 2004 to Feb 14, 2005 · Austin, Tx
- W•••••• • R••• formerJan 12, 2004 to Apr 21, 2004 · El Paso, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 14, 2021, registered Sep 27, 2021 (13 days) · Affiliated broker-dealer or bank to another
- T••••••••• F•••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2013, registered Aug 14, 2015 (591 days) · Other
- M•• I•••••••• S•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jul 8, 2011, registered Jun 7, 2012 (335 days) · Other
- W•••••• • R••• to M•• I•••••••• S•••••••• L••left Jan 14, 2011, registered May 27, 2011 (133 days) · Other
- E•••••••• A•••••••• L•• to W•••••• • R•••left Feb 14, 2005, registered Sep 27, 2005 (225 days) · Other
- W•••••• • R••• to E•••••••• A•••••••• L••left Apr 21, 2004, registered May 4, 2004 (13 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