DFX Intelligence
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Registered advisor
R••••• D• N•••••
Feed of 09/14/2026
Also filed as R••••• D••• N••••••••• D• N••••••••• D• N•••••
At current firm
1 y
since May 15, 2025
In the industry
23 y
since Nov 20, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · League, Tx
- C••• F•••••••• S•••••••• L••• formerNov 16, 2015 to May 15, 2025 · League, Tx
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 10, 2006 to Nov 10, 2015 · Galveston, Tx
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••• F•••••••• S•••••••• L•••left Nov 10, 2015, registered Nov 16, 2015 (6 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address