DFX Intelligence
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Registered advisor
E••••• R••••• G••••••• C•••••••
Feed of 09/14/2026
Also filed as E••••• C•••••••
At current firm
3 y
since Sep 30, 2022
In the industry
11 y
since Sep 1, 2015 (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
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Sep 30, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 19, 2023 to Sep 7, 2023 · Westlake, Tx
- T• A••••••••• I••• formerJan 12, 2022 to Oct 14, 2022 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to no registered destinationleft Sep 7, 2023 · Departure, no registered destination
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Sep 30, 2022 (-14 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- ••• LockedSep 7, 2023 · Advisor departure · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address