DFX Intelligence
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Feed of 09/14/2026
Also filed as D•• R•••••••
At current firm
2 y
since Jan 12, 2024
In the industry
24 y
since Jan 9, 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jan 12, 2024 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 26, 2016 to Jan 16, 2024 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseNov 30, 2007 to Mar 1, 2016 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseMay 22, 2003 to Dec 10, 2007 · Addison, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2002 to Jul 3, 2002 · Irving, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 16, 2024, registered Jan 12, 2024 (-4 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 1, 2016, registered Feb 26, 2016 (-4 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 10, 2007, registered Nov 30, 2007 (-10 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jul 3, 2002, registered May 22, 2003 (323 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 16, 2024 · Advisor changed firm · fact
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