DFX Intelligence
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Registered advisor
P••••• B•••• D•••••
Feed of 09/14/2026
Also filed as P••••• D••••••••• B• D••••••••• D•••••••• D••••••••• B•••• D•••••
At current firm
1 y
since Dec 24, 2024
In the industry
17 y
since Sep 14, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- V••••••• A•••••••• I••• BD affiliated currentsince Dec 24, 2024 · Scottsdale, Az
- J••• M••••• S••••••••• L•• wirehouseOct 19, 2023 to Dec 3, 2024 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDMay 25, 2020 to Dec 31, 2022 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerNov 8, 2011 to Jan 8, 2018 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to V••••••• A•••••••• I•••left Dec 3, 2024, registered Dec 24, 2024 (21 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Dec 31, 2022, registered Oct 19, 2023 (292 days) · Affiliated broker-dealer or bank to wirehouse
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 25, 2020 (1 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedDec 3, 2024 · Advisor changed firm · fact
- ••• LockedDec 31, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address