DFX Intelligence
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Registered advisor
R••••• V•••••• R••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R••••• V•••••• R••••••••• R••••••••• V•••••• R••••••••• V•••••• R••••••••• V•••••• R••••••••• V• R••••••••• V•••••• R••••••••• V•••••• R••••••••• V•••••• R••••••••• V•••••• J• R••••
At current firm
4 y
since Feb 8, 2022
In the industry
23 y
since Feb 10, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S••••• W••••• A•••••••• I••• no RAUM currentsince Feb 8, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 15, 2017 to May 10, 2022 · Southlake, Tx
- T• A••••••••• I••• formerNov 15, 2017 to Dec 31, 2017 · Westlake, Tx
- S•••••••• A••••••• L•• national BDOct 21, 2014 to Oct 6, 2017 · Westlake, Tx
- S••••• W••••• A•••••••• I••• no RAUMFeb 15, 2012 to Jan 15, 2013 · Fort Worth, Tx
- C•••••• S••••• • C••• I••• national BDFeb 10, 2003 to Sep 4, 2014 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to S••••• W••••• A•••••••• I•••left May 10, 2022, registered Feb 8, 2022 (-91 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 31, 2017, registered Nov 15, 2017 (-46 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Oct 6, 2017, registered Nov 15, 2017 (40 days) · Other · moved with a team
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Sep 4, 2014, registered Feb 15, 2012 (-932 days) · channel change inside one enterprise, not a move
- S••••• W••••• A•••••••• I••• to S•••••••• A••••••• L••left Jan 15, 2013, registered Oct 21, 2014 (644 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
- No RAUM reportedderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address