DFX Intelligence
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Registered advisor
M••••• A• R••••
Feed of 09/14/2026
Also filed as M••••• A• R••••••••• R••••
At current firm
1 y
since May 5, 2025
In the industry
17 y
since Jun 25, 2009 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 5, 2025 · Houston, Tx
- M••••• S•••••• wirehouseJun 21, 2021 to May 20, 2025 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseSep 28, 2020 to Jun 15, 2021 · Houston, Tx
- M••••• S•••••• wirehouseDec 1, 2011 to Sep 18, 2020 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJan 5, 2011 to Dec 2, 2011 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 20, 2025, registered May 5, 2025 (-15 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jun 15, 2021, registered Jun 21, 2021 (6 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 18, 2020, registered Sep 28, 2020 (10 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Dec 2, 2011, registered Dec 1, 2011 (-1 days) · Wirehouse to wirehouse
Signals
- ••• LockedMay 20, 2025 · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address