DFX Intelligence
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Feed of 09/15/2026
At current firm
4 y
since Jul 27, 2022
In the industry
20 y
since Jan 11, 2006 (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, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••• L•• BD affiliated currentsince Jul 27, 2022 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMar 18, 2020 to Jul 28, 2022 · Houston, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 8, 2016 to Feb 12, 2019 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 3, 2014 to May 1, 2015 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 20, 2012 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 14, 2006 to Oct 23, 2009 · Houston, Tx
- W•••••• • R••• formerApr 6, 2006 to Dec 6, 2006 · Edmond, Ok
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••• L••left Jul 28, 2022, registered Jul 27, 2022 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 12, 2019, registered Mar 18, 2020 (400 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to C••••• I••••••••• A••••••• L••left May 1, 2015, registered Nov 8, 2016 (557 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Apr 20, 2012, registered Jan 3, 2014 (623 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 6, 2006, registered Dec 14, 2006 (8 days) · Other
Signals
- ••• LockedJul 28, 2022 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address