DFX 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.
Registered advisor
E•••••••• P•••• R•••••
Feed of 09/14/2026
Also filed as E•••••••• P•••• R••••••••• P• R••••••••• P• R••••••••• P• R••••••••• S••••••••• P• S••••••••• P• S••••••••• P•••• R••••••••• P•••• R••••••••• S••••••••• P•••• R••••••••• P• R••••••••• R••••••••• R•••••
At current firm
6 y
since Sep 15, 2020
In the industry
24 y
since Mar 15, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 15, 2020 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 21, 2011 to Mar 9, 2020 · Spring, Tx
- W•••••• • R••• formerJul 5, 2011 to Nov 11, 2011 · Edmond, Ok
- C•••• I••••••••• S••••••• C•••• formerNov 15, 2007 to Jul 6, 2011 · Carrollton, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 16, 2002 to Mar 17, 2006 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 9, 2020, registered Sep 15, 2020 (190 days) · Wirehouse to wirehouse · moved with a team
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 11, 2011, registered Dec 21, 2011 (40 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••••• • R•••left Jul 6, 2011, registered Jul 5, 2011 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 17, 2006, registered Nov 15, 2007 (608 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address