DFX Intelligence
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Registered advisor
E•••••••• A••• C•••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedCorpus Christi, Txdual registrantIAPD 5350336
Feed of 09/14/2026
Also filed as E•••••••• A••• C••••••••• A••• C••••••••• A• C••••••••• A• C•••••
At current firm
9 y
since Apr 26, 2017
In the industry
17 y
since Apr 21, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 26, 2017 · Corpus Christi, Tx
- W•••••• • R••• formerNov 19, 2010 to Feb 22, 2016 · Overland Park, Ks
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to Nov 8, 2010 · Lawrence, Ks
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 22, 2016, registered Apr 26, 2017 (429 days) · Other
- W•••• F•••• A••••••• to W•••••• • R•••left Nov 8, 2010, registered Nov 19, 2010 (11 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address