DFX Intelligence
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Registered advisor
P•••• M• F•••••••
Feed of 09/15/2026
Also filed as P•••• E••••••••• M•••• E••••••••• M•••• E••••••••• M•••• E•••••••••
At current firm
6 y
since Jun 2, 2020
In the industry
25 y
since Dec 8, 2000 (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
S65, 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•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jun 2, 2020 · Stamford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 2, 2020 to Jun 2, 2020 · Dallas, Tx
- R•••••• J•••• • A••••••••• I••• national BDOct 24, 2013 to Jun 2, 2020 · Dallas, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2013 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 9, 2002 to Jun 1, 2009 · El Paso, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Jun 2, 2020, registered Jun 2, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 2, 2020, registered Jun 2, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Oct 29, 2013, registered Oct 24, 2013 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address