DFX Intelligence
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H•••• F•••••• S••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Tyler, TxIAPD 5851502
As of · the IAPD feed; also filed as H•••• G••••••••• F•••••• G••••
- At current firm
- 11 y
- In the industry
- 14 y
- Prior registered firms
- 2
- Signals
- 0
since Nov 26, 2014
As of · the IAPD feed; also filed as H•••• G••••••••• F•••••• G••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenesssome14.3 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- ContactabilityweakPublished: no published contact point.
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome2 prior firms, median stay 0.2 years.
Career
- 14.3 years in the industry
- 11.8 years at the current firm
- 2 prior registered firms; median stay 0.2 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 32 states (firm median 2)
- Exams: SIE, Series 66, Series 7
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 1 of about 36 in the office left in the last 180 days
- 1 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 2 disclosed outside organisations
- Board, trustee or officer seat at 2
- 1 also disclosed by other registered advisors
Why it may matter
- someExternal business breadthOutside business spans 1 category: operating company.
- notableCommunity and board roles2 board, trustee or officer roles in outside organisations.
- G•••• O•• C••••••• I•••Operating companyOfficer · since 2021-03-01
Family business (the advisor's own disclosure)
Sits on the board or serves as an officer of an operating company.
self-disclosed on Form U4 - Volunteer, Officer · since 2024-07-01
Private school (the advisor's own disclosure)
Sits on the board or serves as an officer of an educational institution.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 26, 2014 · Tyler, Tx
- W•••• F•••• A••••••• wirehouseOct 28, 2014 to Nov 5, 2014 · Tyler, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 26, 2012 to Aug 25, 2014 · Tyler, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 5, 2014, registered Nov 26, 2014 (21 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 25, 2014, registered Oct 28, 2014 (64 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote