DFX Intelligence
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Feed of 09/14/2026
Also filed as P•••••• H••••••••• H••••••
At current firm
4 y
since Mar 17, 2022
In the industry
11 y
since May 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
S65, 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
- F••••• I••••••••• independent RIA currentsince Mar 17, 2022 · Plano, Tx
- C•••••• S••••• • C••• I••• national BDMay 23, 2020 to Sep 9, 2020 · Westlake, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 3, 2019 to May 24, 2020 · Addison, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to F••••• I•••••••••left Sep 9, 2020, registered Mar 17, 2022 (554 days) · Affiliated broker-dealer or bank to independent RIA
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
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