DFX Intelligence
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Registered advisor
N••••• R••• B•••••
Feed of 09/14/2026
Also filed as N••••• B•••••
At current firm
1 y
since Sep 5, 2025
In the industry
18 y
since Feb 25, 2008 (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
S66, S63
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Rockwall, Tx
- A•••••• A••••••• S••••••• formerJun 18, 2021 to Sep 5, 2025 · Dallas, Tx
- C•••••• S••••• • C••• I••• national BDFeb 3, 2020 to Jun 22, 2021 · Phoenix, Az
- A•••••• A••••••• S••••••• formerFeb 20, 2014 to Dec 10, 2019 · Wylie, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 16, 2013 · Mesquite, Tx
- C•••• I••••••••• S••••••• C•••• formerApr 28, 2012 to Oct 1, 2012 · Garland, Tx
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to A•••••• A••••••• S•••••••left Jun 22, 2021, registered Jun 18, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to C•••••• S••••• • C••• I•••left Dec 10, 2019, registered Feb 3, 2020 (55 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• M••••• S••••••••• L•• to A•••••• A••••••• S•••••••left Oct 16, 2013, registered Feb 20, 2014 (127 days) · Other
- 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
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
- 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