DFX Intelligence
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Registered advisor
T••• A••• F•••••
Feed of 09/15/2026
At current firm
5 y
since Jul 8, 2021
In the industry
20 y
since Feb 1, 2006 (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
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Jul 8, 2021 · Plano, Tx
- T• A••••••••• I••• formerMar 26, 2009 to Jul 8, 2021 · Fort Worth, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 31, 2008 to Oct 19, 2021 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Oct 19, 2021, registered Jul 8, 2021 (-103 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jul 8, 2021, registered Jul 8, 2021 (0 days) · channel change inside one enterprise, 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address