DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••• C•••••• D•••••
Feed of 09/14/2026
Also filed as A•••• C•••••• English
At current firm
1 y
since Sep 5, 2025
In the industry
20 y
since Sep 13, 2006 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 5, 2025 · Lumberton, Tx
- E••••• J•••• national BDJul 18, 2023 to Sep 8, 2025 · Beaumont, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 28, 2023 to Apr 20, 2023 · New York, Ny
- L•• F•••••••• L•• BD affiliatedSep 10, 2018 to Feb 17, 2023 · Beaumont, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDJul 27, 2012 to Aug 29, 2018 · Beaumont, Tx
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Sep 8, 2025, registered Sep 5, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••left Apr 20, 2023, registered Jul 18, 2023 (89 days) · Other
- L•• F•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 17, 2023, registered Mar 28, 2023 (39 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 29, 2018, registered Sep 10, 2018 (12 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Signals
- A•••• C•••••• D••••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-09-05)Sep 8, 2025 · Advisor changed firm · fact
- A•••• C•••••• D••••• left N••••••••• M••••• I••••••••• S••••••••• for E••••• J•••• (registered 2023-07-18)Apr 20, 2023 · Advisor changed firm · fact
- A•••• C•••••• D••••• left L•• F•••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-03-28)Feb 17, 2023 · Advisor changed firm · fact
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
- 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