DFX Intelligence
RIA Intelligence
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Registered advisor
A••••• L•• U••••
Feed of 09/14/2026
At current firm
3 y
since Jan 3, 2023
In the industry
19 y
since Aug 1, 2007 (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
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 3, 2023 · El Paso, Tx
- F••••••• S••• W••••• P••••••• unclassifiedJan 28, 2019 to Dec 31, 2023 · El Paso, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 1, 2016 to Dec 19, 2018 · El Paso, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 4, 2008 to Nov 3, 2016 · El Paso, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• S••• W••••• P••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2023, registered Jan 3, 2023 (-362 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to F••••••• S••• W••••• P•••••••left Dec 19, 2018, registered Jan 28, 2019 (40 days) · Other
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 3, 2016, registered Nov 1, 2016 (-2 days) · Other
Signals
- A••••• L•• U•••• left F••••••• S••• W••••• P••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-01-03)Dec 31, 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
- 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