DFX Intelligence
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Registered advisor
M•••••• E••••••••
Feed of 09/14/2026
Also filed as M•••••• A••••••• E••••••••• A••••••• E••••••••
At current firm
6 y
since Aug 20, 2020
In the industry
22 y
since Aug 13, 2004 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 20, 2020 · Houston, Tx
- M••••• S•••••• wirehouseApr 12, 2018 to Nov 13, 2019 · Houston, Tx
- P••• A••••• S••••••••• L•• BD affiliatedJan 6, 2016 to Apr 5, 2018 · Houston, Tx
- T• A••••••••• I••• formerSep 21, 2006 to Sep 10, 2008 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 1, 2006 to Apr 1, 2010 · Fort Worth, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 13, 2004 to Apr 13, 2005 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 13, 2019, registered Aug 20, 2020 (281 days) · Wirehouse to wirehouse · moved with a team
- P••• A••••• S••••••••• L•• to M••••• S••••••left Apr 5, 2018, registered Apr 12, 2018 (7 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 1, 2010, registered Sep 21, 2006 (-1288 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to P••• A••••• S••••••••• L••left Sep 10, 2008, registered Jan 6, 2016 (2674 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Apr 13, 2005, registered Mar 1, 2006 (322 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address