DFX Intelligence
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Registered advisor
C•••••• A••••• N•••••
Feed of 09/14/2026
Also filed as C•••••• A• S••• K•••••
At current firm
2 y
since Mar 21, 2024
In the industry
22 y
since Nov 8, 2003 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Apr 30, 2021 · Houston, Tx
- M•• F•••••••• S•••••••• I••• formerMar 2, 2015 to Mar 25, 2017 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 20, 2012 to Sep 12, 2014 · Houston, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 16, 2012 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 24, 2007 to Jun 1, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 30, 2021, registered Mar 21, 2024 (1056 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M•• F•••••••• S•••••••• I•••left Sep 12, 2014, registered Mar 2, 2015 (171 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Feb 16, 2012, registered Jun 20, 2012 (125 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address