DFX Intelligence
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Registered advisor
N••••• V••••• B••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N••••• V• B••••••••• V••••• B••••••••• B••••••••• B••••
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since Sep 11, 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, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Katy, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 20, 2020 to Mar 31, 2025 · Katy, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 1, 2018 to May 2, 2020 · 788 W Sam Houston Pkwy N Ste 128, Tx
- T• A••••••••• I••• formerMar 1, 2018 to May 2, 2020 · Houston, Tx
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to Mar 7, 2018 · Saint Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 23, 2015 · Houston, Tx
- C•••• I••••••••• S••••••• C•••• formerNov 4, 2011 to Oct 1, 2012 · Sugar Land, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 2, 2020, registered Mar 1, 2018 (-793 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 2, 2020, registered Mar 1, 2018 (-793 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Mar 7, 2018, registered Mar 1, 2018 (-6 days) · channel change inside one enterprise, not a move
- J••• M••••• S••••••••• L•• to S•••••••• I••••••••• M•••••••••left Jun 23, 2015, registered Jan 24, 2017 (581 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 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
- 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