DFX Intelligence
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Registered advisor
T•••• L•• B••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
6 y
since Oct 28, 2019
In the industry
24 y
since Jul 26, 2002 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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••••• S•••••• wirehouse currentsince Oct 28, 2019 · Santa Rosa, Ca
- W•••• F•••• A••••••• wirehouseMay 27, 2016 to Nov 4, 2019 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 5, 2014 to May 31, 2016 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 10, 2013 to Oct 28, 2014 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 11, 2013 · Austin, Tx
- W•••• F•••• I••••••••• L•• unclassifiedJul 30, 2010 to Jan 3, 2011 · Austin, Tx
- C•••• I••••••••• S••••••• C•••• formerNov 17, 2009 to Jul 28, 2010 · Austin, Tx
- W•••• F•••• I••••••••• L•• unclassifiedSep 28, 2006 to Oct 28, 2009 · Austin, Tx
- C•••• I••••••••• S••••••• C•••• formerJul 20, 2005 to Sep 20, 2006 · Round Rock, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Nov 4, 2019, registered Oct 28, 2019 (-7 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left May 31, 2016, registered May 27, 2016 (-4 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 28, 2014, registered Dec 5, 2014 (38 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jun 11, 2013, registered Jun 10, 2013 (-1 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Jul 28, 2010, registered Jul 30, 2010 (2 days) · Other
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Oct 28, 2009, registered Nov 17, 2009 (20 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Sep 20, 2006, registered Sep 28, 2006 (8 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