DFX Intelligence
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Registered advisor
D•••• R•••
Feed of 09/14/2026
Also filed as D•••• W•••• R••• J••••••• W•••• R••• J••••••• W•••• R••••••••• W•••• R•••
At current firm
4 y
since May 20, 2022
In the industry
19 y
since Oct 2, 2006 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince May 20, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 9, 2018 to Sep 7, 2023 · Southlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 31, 2015 to Jun 23, 2018 · Ft. Worth, Tx
- T• A••••••••• I••• formerAug 31, 2015 to Oct 14, 2022 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered May 20, 2022 (-475 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Aug 9, 2018 (-1527 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 23, 2018, registered Aug 31, 2015 (-1027 days) · channel change inside one enterprise, not a move · moved with a team
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address