DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• R•••••
Feed of 09/14/2026
At current firm
6 y
since Jan 13, 2020
In the industry
26 y
since Mar 14, 2000 (earliest exam, job or registration)
Prior registered firms
3
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
- C•••••• C••••• G••••• I••• no RAUM currentsince Jan 13, 2020 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jan 2, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 13, 2015 to Jan 8, 2018 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMSep 25, 2009 to Mar 16, 2015 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to C•••••• C••••• G••••• I•••left Jan 2, 2020, registered Jan 13, 2020 (11 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Mar 16, 2015, registered Mar 13, 2015 (-3 days) · channel change inside one enterprise, 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
- No RAUM reportedderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address