DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• D••• N•••••
Feed of 09/15/2026
Also filed as R••••• D••• N•••••
At current firm
6 y
since May 28, 2020
In the industry
19 y
since Nov 28, 2006 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince May 28, 2020 · Houston, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMDec 4, 2015 to Oct 1, 2019 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 14, 2013 to Dec 8, 2015 · San Antonio, Tx
- C••• B•••••••• S•••••••• I••• formerOct 15, 2008 to May 17, 2013 · Boerne, Tx
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 11, 2008 to Oct 2, 2008 · Irving, Tx
- E••••• J•••• national BDDec 15, 2006 to Feb 5, 2008 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to W•••• F•••• A•••••••left Oct 1, 2019, registered May 28, 2020 (240 days) · Affiliated broker-dealer or bank to wirehouse
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Dec 8, 2015, registered Dec 4, 2015 (-4 days) · channel change inside one enterprise, not a move · moved with a team
- C••• B•••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left May 17, 2013, registered Jun 14, 2013 (28 days) · Other
- T••••••• I••••••••• M••••••••• I••• to C••• B•••••••• S•••••••• I•••left Oct 2, 2008, registered Oct 15, 2008 (13 days) · Other
- E••••• J•••• to T••••••• I••••••••• M••••••••• I•••left Feb 5, 2008, registered Feb 11, 2008 (6 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address