DFX Intelligence
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Feed of 09/14/2026
Also filed as J••••• L•••• W••••••••• L•••• R•••••
At current firm
1 y
since Jul 25, 2025
In the industry
18 y
since Feb 13, 2008 (earliest exam, job or registration)
Prior registered firms
7
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jul 25, 2025 · Waco, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 30, 2013 to Jul 28, 2025 · Waco, Tx
- E••••• J•••• national BDAug 23, 2013 to Sep 3, 2013 · Woodway, Tx
- C••• L•• BD affiliatedApr 24, 2013 to Oct 11, 2013 · Omaha, Ne
- P••••••• F•••••••• G•••• unclassifiedAug 25, 2010 to Oct 4, 2013 · Amarillo, Tx
- L•• F•••••••• L•• BD affiliatedJun 8, 2010 to Sep 18, 2013 · Waco, Tx
- W•••• F•••• A••••••• wirehouseAug 21, 2008 to Jun 9, 2010 · Waco, Tx
- U•• F•••••••• S••••••• I••• wirehouseFeb 14, 2008 to Aug 29, 2008 · Waco, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 28, 2025, registered Jul 25, 2025 (-3 days) · Wirehouse to wirehouse · moved with a team
- C••• L•• to E••••• J••••left Oct 11, 2013, registered Aug 23, 2013 (-49 days) · Other
- P••••••• F•••••••• G•••• to C••• L••left Oct 4, 2013, registered Apr 24, 2013 (-163 days) · Other
- L•• F•••••••• L•• to P••••••• F•••••••• G••••left Sep 18, 2013, registered Aug 25, 2010 (-1120 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 3, 2013, registered Aug 30, 2013 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 9, 2010, registered Jun 8, 2010 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 29, 2008, registered Aug 21, 2008 (-8 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 28, 2025 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address