DFX Intelligence
RIA Intelligence
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Registered advisor
L•••• E••••• M•••••••
Feed of 09/14/2026
At current firm
5 y
since Sep 13, 2021
In the industry
21 y
since Jan 14, 2005 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 13, 2021 · San Angelo, Tx
- A•••••• A••••••• S••••••• formerJan 6, 2014 to Sep 14, 2021 · San Angelo, Tx
- E••••• J•••• national BDJun 8, 2007 to Jan 8, 2014 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Sep 14, 2021, registered Sep 13, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- E••••• J•••• to A•••••• A••••••• S•••••••left Jan 8, 2014, registered Jan 6, 2014 (-2 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address