DFX Intelligence
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Registered advisor
T•••• A• L•••••
Feed of 09/14/2026
At current firm
3 y
since Aug 21, 2023
In the industry
24 y
since Apr 30, 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
- C•••••• S••••• • C••• I••• national BD currentsince Aug 21, 2023 · Henderson, Nv
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 26, 2013 to Sep 7, 2023 · Las Vegas, Nv
- T• A••••••••• I••• formerMar 26, 2013 to Oct 14, 2022 · Las Vegas, Nv
- N••• F•••••••• G••••• I••• formerFeb 5, 2008 to Jan 8, 2010 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 30, 2002 to Sep 28, 2004 · Henderson, Nv
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 21, 2023 (-17 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 26, 2013 (-3489 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to T• A••••••••• I•••left Jan 8, 2010, registered Mar 26, 2013 (1173 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••• F•••••••• G••••• I•••left Sep 28, 2004, registered Feb 5, 2008 (1225 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address