DFX Intelligence
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Feed of 09/14/2026
Also filed as J••• P••• S••••••••• S•••••
At current firm
2 y
since Jan 5, 2024
In the industry
10 y
since Feb 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jan 5, 2024 · Ft Worth, Tx
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Jan 9, 2024 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 16, 2017 to Dec 15, 2022 · Fort Worth, Tx
- T• A••••••••• I••• formerNov 16, 2017 to Oct 14, 2022 · Westlake, Tx
- E••••• J•••• national BDJun 2, 2017 to Oct 3, 2017 · Allen, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Jan 9, 2024, registered Jan 5, 2024 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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 Nov 16, 2017 (-1793 days) · corporate re-registration, not a move
- E••••• J•••• to T• A••••••••• I•••left Oct 3, 2017, registered Nov 16, 2017 (44 days) · Other
Signals
- ••• LockedJan 9, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address