DFX Intelligence
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Registered advisor
M•••••••• E••••• D••••
Feed of 09/14/2026
Also filed as M•••••••• D••••
At current firm
13 y
since Jan 17, 2013
In the industry
21 y
since Jan 28, 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
S65, 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
- M••••• S•••••• wirehouse currentsince Jan 17, 2013 · Houston, Tx
- H•••••• S••••••••• I••• BD affiliatedAug 25, 2010 to Jan 30, 2013 · Houston, Tx
- E•••••••• A•••••••• L•• national BDSep 10, 2009 to Aug 27, 2010 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- H•••••• S••••••••• I••• to M••••• S••••••left Jan 30, 2013, registered Jan 17, 2013 (-13 days) · Other
- E•••••••• A•••••••• L•• to H•••••• S••••••••• I•••left Aug 27, 2010, registered Aug 25, 2010 (-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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address