DFX Intelligence
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Feed of 09/14/2026
Also filed as S••••• R•••• S••••••••• S••••••
At current firm
3 y
since Sep 15, 2023
In the industry
12 y
since Oct 16, 2013 (earliest exam, job or registration)
Prior registered firms
2
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
- F••••• I••••••••• independent RIA currentsince Sep 15, 2023 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDApr 13, 2021 to Aug 14, 2023 · Westlake, Tx
- C•••••• S••••• • C••• I••• national BDJun 3, 2019 to May 14, 2020 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to F••••• I•••••••••left Aug 14, 2023, registered Sep 15, 2023 (32 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- ••• LockedAug 14, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address