DFX Intelligence
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Registered advisor
S•••••••• B••••••••• F••••
Feed of 09/15/2026
Also filed as S•••••••• G••••••• B••••••••• G••••••• L••••••••• B••••••••• F••••
At current firm
3 y
since Feb 28, 2023
In the industry
18 y
since Jun 13, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Feb 28, 2023 · Houston, Tx
- M••••• S•••••• wirehouseSep 14, 2022 to Feb 23, 2023 · Houston, Tx
- R•• C•••••• M••••••• L•• national BDMay 3, 2013 to Sep 14, 2022 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Apr 8, 2013 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedDec 6, 2010 to Jan 3, 2011 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerMay 8, 2009 to Oct 29, 2010 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedJun 16, 2008 to Apr 13, 2009 · Cypress, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Feb 23, 2023, registered Feb 28, 2023 (5 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to M••••• S••••••left Sep 14, 2022, registered Sep 14, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Apr 8, 2013, registered May 3, 2013 (25 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Oct 29, 2010, registered Dec 6, 2010 (38 days) · Other
- W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••left Apr 13, 2009, registered May 8, 2009 (25 days) · Other
Signals
- ••• LockedFeb 23, 2023 · Advisor changed firm · fact
- ••• LockedSep 14, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address