DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• C•••••• S•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
7 y
since Mar 29, 2019
In the industry
18 y
since Jan 1, 2008 (earliest exam, job or registration)
Prior registered firms
2
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
- C••••••• W••••• M••••••••• L•• independent RIA currentsince Mar 29, 2019 · Valley View, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 17, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 18, 2009 to Jul 13, 2018 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to C••••••• W••••• M••••••••• L••left Sep 17, 2018, registered Mar 29, 2019 (193 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address