DFX Intelligence
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Registered advisor
L••• D••••• I•• P•••••••
Feed of 09/14/2026
Also filed as L••• P••••••••• D••••• I•• P•••••••
At current firm
8 y
since Jan 9, 2018
In the industry
11 y
since Jul 1, 2015 (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
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
- F••••• I••••••••• independent RIA currentsince Jan 9, 2018 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 8, 2017 to Dec 13, 2017 · Castle Rock, Co
- E••••• J•••• national BDOct 27, 2015 to May 3, 2017 · Tempe, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Dec 13, 2017, registered Jan 9, 2018 (27 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 3, 2017, registered Jun 8, 2017 (36 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address