DFX Intelligence
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Registered advisor
R••••• C••••••••• O••••
Feed of 09/14/2026
Also filed as R••••• C••••••• O••••••••• O••••
At current firm
4 y
since Jan 26, 2022
In the industry
12 y
since Sep 5, 2014 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 Jan 26, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 23, 2020 to Dec 15, 2022 · Southlake, Tx
- T• A••••••••• I••• formerJan 23, 2020 to Oct 14, 2022 · Westlake, Tx
- F••••• I••••••••• independent RIADec 4, 2018 to Jan 17, 2020 · Plano, Tx
- T• A••••••••• I••• formerJul 1, 2016 to Sep 7, 2018 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 1, 2016 to Sep 7, 2018 · Fort Worth, Tx
- S•••••••• A••••••• L•• national BDMay 8, 2015 to Jul 15, 2016 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 15, 2022, registered Jan 26, 2022 (-323 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 23, 2020 (-995 days) · corporate re-registration, not a move
- F••••• I••••••••• to T• A••••••••• I•••left Jan 17, 2020, registered Jan 23, 2020 (6 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2018, registered Jul 1, 2016 (-798 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 7, 2018, registered Jul 1, 2016 (-798 days) · Other · moved with a team
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Jul 15, 2016, registered Jul 1, 2016 (-14 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
- 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