DFX Intelligence
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Registered advisor
M•••••• W•••• O•••••
Feed of 09/14/2026
Also filed as M•••••• O••••••••• W•••• O••••••••• W• O••••••••• O•••••
At current firm
4 y
since Oct 26, 2021
In the industry
13 y
since Dec 1, 2012 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Oct 26, 2021 · Austin, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 15, 2019 to Dec 31, 2020 · Austin, Tx
- T• A••••••••• I••• formerFeb 15, 2019 to Jan 11, 2021 · Austin, Tx
- P••• A••••• S••••••••• L•• BD affiliatedNov 19, 2018 to Feb 1, 2019 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2013 to Dec 14, 2016 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jan 11, 2021, registered Oct 26, 2021 (288 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 15, 2019 (-685 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Feb 1, 2019, registered Feb 15, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• A••••• S••••••••• L••left Dec 14, 2016, registered Nov 19, 2018 (705 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address