DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• R•••••• F••
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
49 y
since Jan 1, 1977 (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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Corpus Christi, Tx
- S••••••••• A•••••• A•••••••• I••• formerFeb 9, 2011 to Jun 14, 2024 · Corpus Christi, Tx
- F•• I••••••••• L••• unclassifiedSep 23, 2004 to Mar 2, 2011 · Corpus Christi, Tx
- S••••••••• A•••••• A•••••••• I••• formerAug 14, 2003 to Sep 27, 2004 · Corpus Christi, Tx
- 1•• G••••• A••••••• I•• formerJun 15, 2000 to Aug 8, 2003 · Corpus Christi, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- F•• I••••••••• L••• to S••••••••• A•••••• A•••••••• I•••left Mar 2, 2011, registered Feb 9, 2011 (-21 days) · Other
- S••••••••• A•••••• A•••••••• I••• to F•• I••••••••• L•••left Sep 27, 2004, registered Sep 23, 2004 (-4 days) · Other
- 1•• G••••• A••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Aug 8, 2003, registered Aug 14, 2003 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 49derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address