DFX Intelligence
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Feed of 09/14/2026
At current firm
6 y
since Feb 4, 2020
In the industry
26 y
since Dec 13, 1999 (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
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 Feb 4, 2020 · Plano, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 19, 2019 to Jan 8, 2020 · Southlake, Tx
- T• A••••••••• I••• formerFeb 19, 2019 to Jan 8, 2020 · Westlake, Tx
- C•••••• S••••• • C••• I••• national BDSep 16, 2016 to Jan 10, 2019 · Millburn, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 2012 to Jul 25, 2016 · New York, Ny
- S•••••••• A••••••• L•• national BDMar 20, 2002 to Jun 30, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to F••••• I•••••••••left Jan 8, 2020, registered Feb 4, 2020 (27 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 8, 2020, registered Feb 19, 2019 (-323 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 10, 2019, registered Feb 19, 2019 (40 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jul 25, 2016, registered Sep 16, 2016 (53 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 30, 2009, registered Oct 17, 2012 (1205 days) · Affiliated broker-dealer or bank to wirehouse
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address