DFX Intelligence
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Feed of 09/14/2026
Also filed as Q••••• J•••• G••••••••• J•••• G••••••
At current firm
4 y
since Feb 14, 2022
In the industry
24 y
since Feb 22, 2002 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•• BD affiliated currentsince Feb 14, 2022 · Ann Arbor, Mi
- W•••• F•••• A••••••• wirehouseDec 7, 2018 to Feb 22, 2022 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedOct 17, 2016 to Dec 27, 2018 · The Woodlands, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 28, 2016 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerAug 15, 2007 to Oct 1, 2012 · Houston, Tx
- E••••• J•••• national BDSep 15, 2005 to May 30, 2007 · Conroe, Tx
- M••••• S•••••• D• I••• unclassifiedFeb 26, 2002 to Aug 29, 2005 · Thewoodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S••left Feb 22, 2022, registered Feb 14, 2022 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Dec 27, 2018, registered Dec 7, 2018 (-20 days) · RIA to wirehouse
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Oct 28, 2016, registered Oct 17, 2016 (-11 days) · Other · 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
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left May 30, 2007, registered Aug 15, 2007 (77 days) · Other
- M••••• S•••••• D• I••• to E••••• J••••left Aug 29, 2005, registered Sep 15, 2005 (17 days) · Other
Signals
- ••• LockedFeb 22, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address