DFX Intelligence
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Feed of 09/14/2026
At current firm
4 y
since Nov 17, 2021
In the industry
22 y
since Jun 7, 2004 (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
S66, 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
- F••••• I••••••••• independent RIA currentsince Nov 17, 2021 · Plano, Tx
- W•••• F•••• A••••••• wirehouseFeb 27, 2012 to Aug 8, 2012 · Salt Lake City, Ut
- E•••••• C•••••• M••••••••• L•• formerMay 2, 2011 to Oct 26, 2011 · Arlington, Va
- W••• I••••••••• I••• unclassifiedJul 21, 2005 to Sep 22, 2006 · Lewisvile, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJun 7, 2004 to Mar 14, 2005 · Midvale, Ut
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to F••••• I•••••••••left Aug 8, 2012, registered Nov 17, 2021 (3388 days) · Wirehouse to independent RIA
- E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••left Oct 26, 2011, registered Feb 27, 2012 (124 days) · Other
- W••• I••••••••• I••• to E•••••• C•••••• M••••••••• L••left Sep 22, 2006, registered May 2, 2011 (1683 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••left Mar 14, 2005, registered Jul 21, 2005 (129 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address