DFX Intelligence
RIA Intelligence
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Registered advisor
W•••••• T••••• T•••••
Feed of 09/14/2026
At current firm
1 y
since Apr 17, 2025
In the industry
15 y
since Aug 1, 2011 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 17, 2025 · New Orleans, La
- U•• F•••••••• S••••••• I••• wirehouseJan 30, 2012 to Apr 29, 2025 · New Orleans, La
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 29, 2025, registered Apr 17, 2025 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- W•••••• T••••• T••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2025-04-17)Apr 29, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address