DFX Intelligence
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L••••• E•••••••• D••••• M••••••
Certified Financial Planner
As of · the IAPD feed; also filed as L••••• E•••••••• M••••••••• E•••••••• V••••••••• E•••••••• D••••• M••••••
- At current firm
- 9 y
- In the industry
- 15 y
- Prior registered firms
- 3
- Signals
- 1
since Aug 7, 2017
As of · the IAPD feed; also filed as L••••• E•••••••• M••••••••• E•••••••• V••••••••• E•••••••• D••••• M••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• brokerage advisory currentsince Aug 7, 2017 · Westlake, Tx
- T• A••••••••• I••• brokerage advisoryFeb 23, 2022 to Oct 14, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• brokerage advisoryMar 4, 2013 to Aug 19, 2015 · Plano, Tx
- T• A••••••••• I••• brokerage advisoryMar 4, 2013 to Aug 19, 2015 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Aug 19, 2015, registered Aug 7, 2017 (719 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Aug 19, 2015, registered Aug 7, 2017 (719 days) · Other
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Brokerage advisory programderived
- Years in industry
- 15derivedfrom 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