DFX Intelligence
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Registered advisor
A••••• M•••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseThe Woodlands, Txdual registrantIAPD 5724180
Feed of 09/14/2026
Also filed as A••••• A• M••••••••• A•••••• M•••••••
At current firm
4 y
since Apr 29, 2022
In the industry
16 y
since Dec 31, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 29, 2022 · The Woodlands, Tx
- J••• M••••• S••••••••• L•• wirehouseFeb 21, 2020 to Apr 30, 2022 · The Woodlands, Tx
- W•••• F•••• A••••••• wirehouseJan 10, 2020 to Jan 29, 2020 · The Woodlands, Tx
- J••• M••••• S••••••••• L•• wirehouseMay 18, 2016 to Jan 23, 2020 · Conroe, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 24, 2014 to May 16, 2016 · The Woodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 30, 2022, registered Apr 29, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jan 29, 2020, registered Feb 21, 2020 (23 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 23, 2020, registered Jan 10, 2020 (-13 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 16, 2016, registered May 18, 2016 (2 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedApr 30, 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address