DFX Intelligence
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Registered advisor
R••••• N••• D••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R••••• D••••
At current firm
1 y
since Nov 12, 2024
In the industry
22 y
since Nov 24, 2003 (earliest exam, job or registration)
Prior registered firms
9
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Nov 12, 2024 · Plano, Tx
- V••••••• A•••••••• I••• BD affiliatedSep 22, 2022 to Jan 22, 2024 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDMay 23, 2020 to Sep 15, 2022 · Westlake, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerAug 24, 2011 to Jan 8, 2018 · Addison, Tx
- W•••• F•••• A••••••• wirehouseJul 24, 2008 to Aug 9, 2011 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 11, 2008 to Jul 28, 2008 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 22, 2008 · Dallas, Tx
- A• G• E•••••• • S•••• I••• unclassifiedApr 16, 2004 to Jan 1, 2008 · Rockwall, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDNov 25, 2003 to Apr 16, 2004 · Richardson, Tx
Moves
a registration end followed by a registration begin elsewhere
- V••••••• A•••••••• I••• to F••••• I•••••••••left Jan 22, 2024, registered Nov 12, 2024 (295 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• S••••• • C••• I••• to V••••••• A•••••••• I•••left Sep 15, 2022, registered Sep 22, 2022 (7 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to U••• F•••••••• P••••••• S•••••••left Aug 9, 2011, registered Aug 24, 2011 (15 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 28, 2008, registered Jul 24, 2008 (-4 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 22, 2008, registered Jul 11, 2008 (-11 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to A• G• E•••••• • S•••• I•••left Apr 16, 2004, registered Apr 16, 2004 (0 days) · Other
Signals
- R••••• N••• D•••• left V••••••• A•••••••• I••• for F••••• I••••••••• (registered 2024-11-12)Jan 22, 2024 · Advisor changed firm · fact
- R••••• N••• D•••• left C•••••• S••••• • C••• I••• for V••••••• A•••••••• I••• (registered 2022-09-22)Sep 15, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address