DFX Intelligence
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Feed of 09/14/2026
Also filed as J•••• C••••••• A••••••••• C••••••• A••••••••• C• A••••••••• C• A•••••
At current firm
0 y
since Jan 16, 2026
In the industry
10 y
since Jun 25, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jan 16, 2026 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 7, 2022 to Sep 27, 2024 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseJan 9, 2020 to Jun 8, 2022 · Houston, Tx
- P•••• S••••••••• L•• no RAUMSep 13, 2019 to Nov 8, 2019 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Sep 27, 2024, registered Jan 16, 2026 (476 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 8, 2022, registered Jun 7, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Nov 8, 2019, registered Jan 9, 2020 (62 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedSep 27, 2024 · Advisor changed firm · fact
- ••• LockedJun 8, 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
- 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