DFX Intelligence
RIA Intelligence
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Registered advisor
T•••• T••• T••••
Feed of 09/14/2026
At current firm
7 y
since Dec 4, 2018
In the industry
23 y
since Jan 2, 2003 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- E••••••• A••••••• I••••••••• M••••••••• state registered currentsince Dec 4, 2018 · Boerne, Tx
- C••••• A•••••• N••••••• L•• formerAug 31, 2010 to Nov 30, 2018 · San Antonio, Tx
- N••• F•••••••• G••••• I••• formerFeb 6, 2008 to Sep 10, 2010 · San Antonio, Tx
- M•••• C••••••• A••••••• S•••••• BD affiliatedJun 13, 2005 to Feb 1, 2008 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- C••••• A•••••• N••••••• L•• to E••••••• A••••••• I••••••••• M•••••••••left Nov 30, 2018, registered Dec 4, 2018 (4 days) · Affiliated broker-dealer or bank to a state-registered adviser
- N••• F•••••••• G••••• I••• to C••••• A•••••• N••••••• L••left Sep 10, 2010, registered Aug 31, 2010 (-10 days) · Other
- M•••• C••••••• A••••••• S•••••• to N••• F•••••••• G••••• I•••left Feb 1, 2008, registered Feb 6, 2008 (5 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address