DFX Intelligence
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Registered advisor
S•••• O•••••••••
Feed of 09/14/2026
Also filed as S•••• O••••••••• C••••••••• C••••••••• O••••••••• O••••• • K••••••••• K•••••
At current firm
1 y
since Jun 9, 2025
In the industry
14 y
since Mar 13, 2012 (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
S65, 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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jun 9, 2025 · Austin, Tx
- W•••• F•••• A••••••• wirehouseNov 19, 2013 to Jun 5, 2025 · Lakeway, Tx
- W•••• F•••• A••••••• wirehouseJun 14, 2012 to Aug 28, 2012 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Jun 5, 2025, registered Jun 9, 2025 (4 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 5, 2025 · Advisor changed firm · fact
Transition signals
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address