DFX Intelligence
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Registered advisor
C••••••••• B•••• H••••••
Feed of 09/14/2026
At current firm
14 y
since Jul 12, 2012
In the industry
26 y
since May 11, 2000 (earliest exam, job or registration)
Prior registered firms
5
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 12, 2012 · Bellaire, Tx
- W••••• S••••••••• I••• state registeredMay 25, 2012 to Jun 28, 2012 · The Woodlands, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 2011 to May 17, 2012 · Houston, Tx
- N••• F•••••••• G••••• I••• formerJul 11, 2008 to Mar 2, 2011 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerMar 17, 2005 to Aug 31, 2006 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 12, 2002 to Sep 13, 2004 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- W••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 28, 2012, registered Jul 12, 2012 (14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• S••••••••• I•••left May 17, 2012, registered May 25, 2012 (8 days) · Wirehouse to a state-registered adviser
- N••• F•••••••• G••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 2, 2011, registered Jun 24, 2011 (114 days) · Other
- C•••• I••••••••• S••••••• C•••• to N••• F•••••••• G••••• I•••left Aug 31, 2006, registered Jul 11, 2008 (680 days) · Other
- U•• F•••••••• S••••••• I••• to C•••• I••••••••• S••••••• C••••left Sep 13, 2004, registered Mar 17, 2005 (185 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address