DFX Intelligence
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Registered advisor
S•••••• D•• P••••••
Feed of 09/15/2026
Also filed as S•••••• D•• B••••••••• D•• S••••••••• P••••••••• D•• P••••••••• D• P••••••
At current firm
3 y
since Jan 4, 2023
In the industry
19 y
since Oct 18, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jun 24, 2026 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouse currentsince Jan 4, 2023 · San Antonio, Tx
- R•••••• J•••• • A••••••••• I••• national BDJan 6, 2021 to Dec 22, 2022 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseNov 15, 2017 to Jan 5, 2021 · Dallas, Tx
- M••••• S•••••• wirehouseJan 13, 2015 to Sep 25, 2017 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseMay 23, 2011 to Jan 8, 2015 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Dec 22, 2022, registered Jan 4, 2023 (13 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jan 5, 2021, registered Jan 6, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 25, 2017, registered Nov 15, 2017 (51 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jan 8, 2015, registered Jan 13, 2015 (5 days) · Wirehouse to wirehouse
Signals
- ••• LockedDec 22, 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address