DFX Intelligence
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Registered advisor
R•••••• A•••••• R••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••• R••••••••• A•••••• R••••••••• R••••••••• A•••••• R••••
At current firm
5 y
since Aug 24, 2021
In the industry
16 y
since Dec 14, 2009 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Aug 24, 2021 · Boerne, Tx
- C•••••• S••••• • C••• I••• national BDMay 23, 2020 to Sep 15, 2021 · San Antonio, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerFeb 4, 2014 to Jan 8, 2018 · San Antonio, Tx
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 28, 2011 to Dec 31, 2013 · Loveland, Co
- E••••• J•••• national BDDec 15, 2009 to Oct 6, 2011 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Sep 15, 2021, registered Aug 24, 2021 (-22 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 23, 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
- T••••••• I••••••••• M••••••••• I••• to U••• F•••••••• P••••••• S•••••••left Dec 31, 2013, registered Feb 4, 2014 (35 days) · Other
- E••••• J•••• to T••••••• I••••••••• M••••••••• I•••left Oct 6, 2011, registered Oct 28, 2011 (22 days) · Other
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address