DFX Intelligence
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Feed of 09/14/2026
Also filed as T•••• Alan J••••
At current firm
0 y
since Nov 12, 2025
In the industry
21 y
since Feb 1, 2005 (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
S66, S63
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, 2025 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 25, 2023 to Mar 11, 2025 · Frisco, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 18, 2022 to May 1, 2023 · Irving, Tx
- E••••• J•••• national BDSep 10, 2013 to Jan 30, 2014 · Edinburg, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Mar 11, 2025, registered Nov 12, 2025 (246 days) · Wirehouse to independent RIA
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 1, 2023, registered Jul 25, 2023 (85 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- E••••• J•••• to C•••••••• G••••• M•••••• I•••left Jan 30, 2014, registered Apr 18, 2022 (3000 days) · Affiliated broker-dealer or bank to another
Signals
- T•••• J•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••• I••••••••• (registered 2025-11-12)Mar 11, 2025 · Advisor changed firm · fact
- T•••• J•••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-07-25)May 1, 2023 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address