DFX Intelligence
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Feed of 09/14/2026
Also filed as P•••••• R••• R•••••
At current firm
6 y
since Jun 25, 2020
In the industry
25 y
since Nov 27, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- R••••• C••••••• L•• state registered currentsince Jun 25, 2020 · Frisco, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 8, 2017 to May 26, 2020 · Plano, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedApr 26, 2016 to Apr 27, 2017 · San Antonio, Tx
- S•••••••• A••••••• L•• national BDJan 18, 2012 to Apr 20, 2016 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 7, 2009 to Nov 7, 2011 · Ft Worth, Tx
- T• A••••••••• I••• formerJan 7, 2009 to Nov 7, 2011 · Westlake, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 16, 2008 to Dec 16, 2008 · Arlington, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 12, 2008 to Jun 2, 2008 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••• C••••••• L••left May 26, 2020, registered Jun 25, 2020 (30 days) · Wirehouse to a state-registered adviser
- A••••• A•• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 27, 2017, registered Jun 8, 2017 (42 days) · Other
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Apr 20, 2016, registered Apr 26, 2016 (6 days) · Other · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 7, 2011, registered Jan 7, 2009 (-1034 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 7, 2011, registered Jan 7, 2009 (-1034 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 16, 2008, registered Jan 7, 2009 (22 days) · Other
- U••• F•••••••• P••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 2, 2008, registered Jul 16, 2008 (44 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address