DFX Intelligence
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Registered advisor
E•••••• V•••••
Feed of 09/14/2026
Also filed as E•••• V••••••••• V•••••
At current firm
6 y
since Mar 12, 2020
In the industry
12 y
since Jan 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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 Mar 12, 2020 · Soquel, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedJul 26, 2019 to Jan 28, 2020 · Frisco, Tx
- F••••• I••••••••• independent RIASep 27, 2017 to Nov 10, 2017 · Plano, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 8, 2015 to Sep 15, 2017 · Fort Worth, Tx
- T• A••••••••• I••• formerSep 8, 2015 to Sep 15, 2017 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Jan 28, 2020, registered Mar 12, 2020 (44 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to A••••• A•• P••••••• S•••••••left Nov 10, 2017, registered Jul 26, 2019 (623 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••left Sep 15, 2017, registered Sep 27, 2017 (12 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 15, 2017, registered Sep 8, 2015 (-738 days) · channel change inside one enterprise, not a move · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address