DFX Intelligence
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Feed of 09/14/2026
At current firm
5 y
since Jan 21, 2021
In the industry
10 y
since Aug 1, 2016 (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 21, 2021 · Plano, Tx
- E••••• J•••• national BDAug 1, 2019 to Jan 11, 2021 · Baton Rouge, La
- M••••• S•••••• wirehouseMar 19, 2018 to Jul 22, 2019 · Baton Rouge, La
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to F••••• I•••••••••left Jan 11, 2021, registered Jan 21, 2021 (10 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to E••••• J••••left Jul 22, 2019, registered Aug 1, 2019 (10 days) · Wirehouse to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address