DFX Intelligence
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Registered advisor
A•••••• F•••••
Feed of 09/14/2026
Also filed as A•••••• F••••••••• O••• F••••••••• O• F•••••
At current firm
3 y
since Jul 12, 2023
In the industry
11 y
since Jun 1, 2015 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 12, 2023 · Houston, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 24, 2020 to Jun 23, 2023 · Friendswood, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 21, 2019 to Oct 27, 2020 · Houston, Tx
- T• A••••••••• I••• formerJun 21, 2019 to Oct 27, 2020 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 6, 2018 to Mar 5, 2019 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Jun 23, 2023, registered Jul 12, 2023 (19 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 27, 2020, registered Nov 24, 2020 (28 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 27, 2020, registered Jun 21, 2019 (-494 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Mar 5, 2019, registered Jun 21, 2019 (108 days) · Other
Signals
- ••• LockedJun 23, 2023 · 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address