DFX Intelligence
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Registered advisor
W•••••• R•••• S••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as W•••••• R• S•••••••• I••••••••• R•••• S••••••••• S••••••••• R•••• S••••••••• S••••••••
At current firm
2 y
since Jul 19, 2024
In the industry
19 y
since Jan 1, 2007 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 19, 2024 · The Woodlands, Tx
- L•• F•••••••• L•• BD affiliatedDec 20, 2017 to Aug 1, 2024 · Houston, Tx
- P••• A••••• S••••••••• L•• BD affiliatedJun 24, 2016 to Aug 10, 2017 · Magnolia, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 9, 2016 to Jun 22, 2016 · Houston, Tx
- S•••••••• F••••••••• I••• formerOct 30, 2013 to Jan 12, 2016 · Sherman Oaks, Ca
- W•••••• • R••• formerMar 14, 2011 to Oct 25, 2013 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 1, 2024, registered Jul 19, 2024 (-13 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to L•• F•••••••• L••left Aug 10, 2017, registered Dec 20, 2017 (132 days) · Other
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jun 22, 2016, registered Jun 24, 2016 (2 days) · Other
- S•••••••• F••••••••• I••• to M•• I•••••••• S•••••••• L••left Jan 12, 2016, registered Mar 9, 2016 (57 days) · Other
- W•••••• • R••• to S•••••••• F••••••••• I•••left Oct 25, 2013, registered Oct 30, 2013 (5 days) · Other
Signals
- ••• LockedAug 1, 2024 · Advisor changed firm · fact
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