DFX Intelligence
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Registered advisor
A••• A•••••
Feed of 09/14/2026
Also filed as A••• R••• A•••••
At current firm
13 y
since Oct 1, 2012
In the industry
18 y
since Oct 16, 2007 (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
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Webster, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 20, 2009 to Oct 1, 2012 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 1, 2007 to Jan 21, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- 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
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Jan 21, 2009, registered Apr 20, 2009 (89 days) · Other
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address