DFX Intelligence
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Registered advisor
A•••• L• G••••••••
Feed of 09/15/2026
Also filed as A•••• G••••••••• L•••• G••••••••• L•••• G••••••••
At current firm
5 y
since Jan 6, 2021
In the industry
19 y
since Aug 9, 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
S63, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 6, 2021 · Fort Worth, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 22, 2021 · Ft. Worth, Tx
- C•••• I••••••••• S••••••• C•••• formerDec 14, 2010 to Oct 1, 2012 · Ft. Worth, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 30, 2008 to Apr 26, 2010 · Watauga, Tx
- A•••• W••••• M••••••••• L•• unclassifiedApr 3, 2008 to May 6, 2008 · Irving, Tx
- S•••••••• A••••••• L•• national BDDec 12, 2007 to Feb 4, 2008 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 22, 2021, registered Jan 6, 2021 (-16 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Apr 26, 2010, registered Dec 14, 2010 (232 days) · Other
- A•••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 6, 2008, registered May 30, 2008 (24 days) · Other
- S•••••••• A••••••• L•• to A•••• W••••• M••••••••• L••left Feb 4, 2008, registered Apr 3, 2008 (59 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address