DFX Intelligence
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Registered advisor
D•••• W•••••• S••••••
Feed of 09/14/2026
Also filed as D•••• R••••••••• R••••••••• W••••••••• W•••••• S••••••••• S••••••
At current firm
2 y
since Sep 13, 2024
In the industry
14 y
since Jul 6, 2012 (earliest exam, job or registration)
Prior registered firms
5
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 Sep 13, 2024 · Colorado Springs, Co
- W•••• F•••• A••••••• wirehouseFeb 19, 2019 to Sep 18, 2024 · Southlake, Tx
- E••••• J•••• national BDAug 17, 2018 to Jan 25, 2019 · Southlake, Tx
- U•• F•••••••• S••••••• I••• wirehouseSep 22, 2015 to Aug 23, 2017 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2014 to Sep 17, 2015 · Dallas, Tx
- E••••• J•••• national BDSep 4, 2012 to Mar 25, 2014 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Sep 18, 2024, registered Sep 13, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Jan 25, 2019, registered Feb 19, 2019 (25 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to E••••• J••••left Aug 23, 2017, registered Aug 17, 2018 (359 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 17, 2015, registered Sep 22, 2015 (5 days) · Wirehouse to wirehouse · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 25, 2014, registered Apr 14, 2014 (20 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedSep 18, 2024 · Advisor changed firm · 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address