DFX Intelligence
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M•••••• S•••• C•••••••
As of · the IAPD feed
- At current firm
- 3 y
- In the industry
- 26 y
- Prior registered firms
- 1
- Signals
- 1
since Mar 24, 2023
As of · the IAPD feed
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 24, 2023 · The Woodlands, Tx
- E•••••••• A•••••••• L•• national BDAug 18, 2009 to Apr 5, 2023 · The Woodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 5, 2023, registered Mar 24, 2023 (-12 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedApr 5, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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