DFX Intelligence
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Registered advisor
E•••••• R•••••
Feed of 09/14/2026
At current firm
4 y
since Jun 10, 2022
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
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
- V••••••• A•••••••• I••• BD affiliated currentsince Jun 10, 2022 · Plano, Tx
- A••••• A•• P••••••• S••••••• BD affiliatedAug 10, 2018 to May 4, 2022 · Frisco, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to V••••••• A•••••••• I•••left May 4, 2022, registered Jun 10, 2022 (37 days) · Affiliated broker-dealer or bank to another
Signals
- E•••••• R••••• left A••••• A•• P••••••• S••••••• for V••••••• A•••••••• I••• (registered 2022-06-10)May 4, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address