DFX Intelligence
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Registered advisor
S•••• D••••••• S•••••••••
Feed of 09/14/2026
Also filed as S•••• S•••••••••
At current firm
4 y
since Jan 25, 2022
In the industry
14 y
since May 1, 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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 25, 2022 · Corpus Christi, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 17, 2020 to Feb 14, 2022 · Corpus Christi, Tx
- E••••• J•••• national BDSep 17, 2012 to Dec 18, 2019 · Corpus Christi, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 14, 2022, registered Jan 25, 2022 (-20 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 18, 2019, registered Jan 17, 2020 (30 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedFeb 14, 2022 · 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