DFX Intelligence
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T••• H••••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Brenham, TxIAPD 6806632
As of · the IAPD feed; also filed as T••• H••••••••• M••••••• H••••••
- At current firm
- 3 y
- In the industry
- 10 y
- Prior registered firms
- 1
- Signals
- 1
since Jan 13, 2023
As of · the IAPD feed; also filed as T••• H••••••••• M••••••• H••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 13, 2023 · Brenham, Tx
- E••••• J•••• national BDSep 19, 2017 to Jan 18, 2023 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 18, 2023, registered Jan 13, 2023 (-5 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJan 18, 2023 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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