DFX Intelligence
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Registered advisor
R••••• E••• B•••••••
Feed of 09/14/2026
Also filed as R••••• B•••••••
At current firm
4 y
since Jan 27, 2022
In the industry
24 y
since Aug 8, 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
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 27, 2022 · Frisco, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 10, 2012 to Sep 7, 2023 · Plano, Tx
- T• A••••••••• I••• formerSep 10, 2012 to Oct 14, 2022 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 30, 2008 to Aug 17, 2012 · Tyler, Tx
- C•••••• S••••• • C••• I••• national BDMay 18, 2004 to Jun 17, 2008 · Fort Worth, Tx
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 Jan 27, 2022 (-588 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Sep 10, 2012 (-3686 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Aug 17, 2012, registered Sep 10, 2012 (24 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 17, 2008, registered May 30, 2008 (-18 days) · Affiliated broker-dealer or bank to wirehouse
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
- 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