DFX Intelligence
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Registered advisor
J••••• D•••••• G••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseThe Woodlands, Txdual registrantIAPD 4318491
Feed of 09/14/2026
Also filed as J••••• D••••• G••••••••• D•••••• G••••••••• G••••••
At current firm
10 y
since Aug 23, 2016
In the industry
24 y
since Jun 17, 2002 (earliest exam, job or registration)
Prior registered firms
4
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 23, 2016 · The Woodlands, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 14, 2016 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerOct 14, 2010 to Oct 1, 2012 · Spring, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 29, 2006 to Dec 31, 2006 · Metairie, La
- W•••••• • R••• formerJun 17, 2002 to Feb 9, 2004 · Baton Rouge, La
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 14, 2016, registered Aug 23, 2016 (131 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Dec 31, 2006, registered Oct 14, 2010 (1383 days) · Other
- W•••••• • R••• to T••••••••• F•••••••• A•••••••• L••left Feb 9, 2004, registered Aug 29, 2006 (932 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address