DFX Intelligence
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Registered advisor
S•••••• M•••••• D••••••
Feed of 09/14/2026
At current firm
1 y
since May 15, 2025
In the industry
21 y
since Sep 6, 2005 (earliest exam, job or registration)
Prior registered firms
4
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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Cedar Park, Tx
- C••• F•••••••• S•••••••• L••• formerAug 18, 2016 to May 15, 2025 · Austin, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 5, 2015 to Aug 19, 2016 · Austin, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 4, 2015 · Temple, Tx
- C•••• I••••••••• S••••••• C•••• formerJun 21, 2011 to Oct 1, 2012 · Harker Heights, Tx
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 19, 2016, registered Aug 18, 2016 (-1 days) · Other
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 4, 2015, registered Mar 5, 2015 (1 day) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- 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