DFX Intelligence
RIA Intelligence
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Registered advisor
B•••• L••••• T•••••••
Feed of 09/14/2026
At current firm
2 y
since Oct 4, 2023
In the industry
13 y
since Sep 19, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Oct 4, 2023 · Boerne, Tx
- C•••••• S••••• • C••• I••• national BDJun 25, 2020 to Aug 1, 2023 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 12, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 20, 2015 to Jul 13, 2018 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to T••••••••• R••••••••• A•••••••• L••left Aug 1, 2023, registered Oct 4, 2023 (64 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left May 12, 2020, registered Jun 25, 2020 (44 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
- B•••• L••••• T••••••• left C•••••• S••••• • C••• I••• for T••••••••• R••••••••• A•••••••• L•• (registered 2023-10-04)Aug 1, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address