DFX Intelligence
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Registered advisor
R••••• E• L•••••
Feed of 09/14/2026
Also filed as R••••• E••••• L•••••
At current firm
3 y
since Jan 9, 2023
In the industry
19 y
since Jul 21, 2007 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 9, 2023 · Llano, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 21, 2015 to Jan 26, 2023 · Llano, Tx
- W•••• F•••• A••••••• wirehouseAug 19, 2011 to Oct 20, 2015 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 23, 2010 to Aug 23, 2011 · Spring, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 11, 2010 · Lubbock, Tx
- M••••• S•••••• • C•• L•• unclassifiedNov 10, 2008 to Jun 1, 2009 · Lubbock, Tx
All 6 prior registrationsShow fewer
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 25, 2007 to Oct 7, 2008 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Jan 26, 2023, registered Jan 9, 2023 (-17 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 20, 2015, registered Oct 21, 2015 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Aug 23, 2011, registered Aug 19, 2011 (-4 days) · Other
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Mar 11, 2010, registered Apr 23, 2010 (43 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
All 6 movesShow fewer
- V•••• F•••••••• A•••••••• I••• to M••••• S•••••• • C•• L••left Oct 7, 2008, registered Nov 10, 2008 (34 days) · Other
Signals
- ••• LockedJan 26, 2023 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address