DFX Intelligence

RIA Intelligence

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Registered advisor

T•••••• L••••• S••••••

A••••• A•• P••••••• S•••••••BD affiliatedHouston, Tx dual registrantIAPD 5441931

Feed of 09/15/2026

Also filed as T•••••• L••••• S••••••

At current firm

3 y

since May 2, 2023

In the industry

18 y

since Jul 8, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• A•• P••••••• S••••••• BD affiliated current
since May 2, 2023 · Godley, Tx
F••••• I••••••••• independent RIA
May 7, 2020 to Feb 28, 2022 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
Jul 10, 2017 to May 6, 2020 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 20, 2011 to May 5, 2014 · Fort Worth, Tx
T• A••••••••• I••• former
Jul 20, 2011 to May 5, 2014 · Fort Worth, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 25, 2011 to Jul 19, 2011 · Fort Worth, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 9, 2008 to Dec 22, 2010 · Fort Worth, Tx
T• A••••••••• I••• former
Jul 9, 2008 to Dec 22, 2010 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to A••••• A•• P••••••• S•••••••
left Feb 28, 2022, registered May 2, 2023 (428 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to F••••• I•••••••••
left May 6, 2020, registered May 7, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left May 5, 2014, registered Jul 10, 2017 (1162 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 5, 2014, registered Jul 20, 2011 (-1020 days) · channel change inside one enterprise, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••
left Jul 19, 2011, registered Jul 20, 2011 (1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 22, 2010, registered Jul 9, 2008 (-896 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 22, 2010, registered Jul 9, 2008 (-896 days) · Other

Signals

T•••••• L••••• S•••••• left F••••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2023-05-02)
Feb 28, 2022 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address