DFX Intelligence
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Registered advisor
C•••• A••• C••••
Feed of 09/14/2026
At current firm
4 y
since Jan 26, 2022
In the industry
22 y
since Jun 15, 2004 (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
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•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 5, 2017 to Sep 7, 2023 · Houston, Tx
- T• A••••••••• I••• formerJun 5, 2017 to Oct 14, 2022 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 2, 2005 to Jan 27, 2017 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jun 5, 2017 (-1957 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••left Jan 27, 2017, registered Jun 5, 2017 (129 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address