DFX Intelligence
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Registered advisor
M••• Q•••••• W•••••
Feed of 09/14/2026
Also filed as M••• W••••••••• Q• W••••••••• Q•••••• W••••••••• Q• W••••••••• Q•••••• W•••••
At current firm
2 y
since May 21, 2024
In the industry
18 y
since Jul 3, 2008 (earliest exam, job or registration)
Prior registered firms
6
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince May 21, 2024 · The Woodlands, Tx
- E••••• J•••• national BDAug 21, 2020 to Apr 22, 2024 · Conroe, Tx
- W•••• F•••• A••••••• wirehouseNov 9, 2015 to Aug 26, 2020 · Spring, Tx
- E••••• J•••• national BDApr 22, 2013 to Nov 10, 2015 · Spring, Tx
- W•••• F•••• A••••••• wirehouseJul 30, 2010 to Feb 3, 2012 · The Woodlands, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 8, 2010 to Aug 4, 2010 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJul 7, 2008 to Dec 10, 2009 · The Woodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 22, 2024, registered May 21, 2024 (29 days) · Other
- W•••• F•••• A••••••• to E••••• J••••left Aug 26, 2020, registered Aug 21, 2020 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Nov 10, 2015, registered Nov 9, 2015 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to E••••• J••••left Feb 3, 2012, registered Apr 22, 2013 (444 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Aug 4, 2010, registered Jul 30, 2010 (-5 days) · Other
- U•• F•••••••• S••••••• I••• to M•• I•••••••• S•••••••• L••left Dec 10, 2009, registered Feb 8, 2010 (60 days) · Other
Signals
- ••• LockedApr 22, 2024 · 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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address