DFX Intelligence
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Registered advisor
A••••• E• G••••
Feed of 09/14/2026
Also filed as A••••• E• G••••••••• G••••••••• E••• G••••
At current firm
14 y
since Aug 27, 2012
In the industry
21 y
since Jun 17, 2005 (earliest exam, job or registration)
Prior registered firms
6
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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 27, 2012 · Dallas, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 7, 2010 to May 18, 2012 · Dallas, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 15, 2009 to Nov 6, 2009 · Dallas, Tx
- M•• F•••••••• S•••••••• I••• formerMar 3, 2009 to May 15, 2009 · Dallas, Tx
- M••••• S•••••• • C•• L•• unclassifiedJul 14, 2008 to Jan 12, 2009 · Dallas, Tx
- U•• F•••••••• S••••••• I••• wirehouseNov 27, 2007 to Jul 24, 2008 · Dallas, Tx
All 6 prior registrationsShow fewer
- J••• M••••• S••••••••• L•• wirehouseJun 18, 2007 to Sep 12, 2007 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 18, 2012, registered Aug 27, 2012 (101 days) · Other
- C•••• I••••••••• S••••••• C•••• to N••••••••• M••••• I••••••••• S•••••••••left Nov 6, 2009, registered Apr 7, 2010 (152 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left May 15, 2009, registered May 15, 2009 (0 days) · Other
- M••••• S•••••• • C•• L•• to M•• F•••••••• S•••••••• I•••left Jan 12, 2009, registered Mar 3, 2009 (50 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Jul 24, 2008, registered Jul 14, 2008 (-10 days) · Other
All 6 movesShow fewer
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 12, 2007, registered Nov 27, 2007 (76 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address