DFX Intelligence
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Registered advisor
E•••• A•• C••••••••
Feed of 09/14/2026
At current firm
9 y
since Sep 22, 2017
In the industry
12 y
since Oct 15, 2013 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• G••••• A••••••• I••• independent RIA currentsince Sep 22, 2017 · Houston, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 9, 2015 to Nov 25, 2015 · Houston, Tx
- M••••• G••••• A••••••• I••• independent RIAOct 15, 2013 to Aug 5, 2014 · Santa Barbara, Ca
Moves
a registration end followed by a registration begin elsewhere
- V•••• F•••••••• A•••••••• I••• to M••••• G••••• A••••••• I•••left Nov 25, 2015, registered Sep 22, 2017 (667 days) · Other
- M••••• G••••• A••••••• I••• to V•••• F•••••••• A•••••••• I•••left Aug 5, 2014, registered Mar 9, 2015 (216 days) · Other
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address