DFX Intelligence
RIA Intelligence
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Registered advisor
T••••• A•••••• D••••••
Feed of 09/14/2026
At current firm
8 y
since Jun 22, 2018
In the industry
26 y
since Aug 14, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 22, 2018 · Little Rock, Ar
- I••••••••• P••••••••• I••• formerFeb 6, 2014 to Sep 24, 2018 · San Antonio, Tx
- E••••• J•••• national BDSep 8, 2010 to Feb 7, 2014 · Marion, Ar
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- E••••• J•••• to I••••••••• P••••••••• I•••left Feb 7, 2014, registered Feb 6, 2014 (-1 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address