DFX Intelligence
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R••••• M••••••••• H••••
As of · the IAPD feed; also filed as R••••• H••••
- At current firm
- 4 y
- In the industry
- 16 y
- Prior registered firms
- 2
- Signals
- 1
since Jul 23, 2022
As of · the IAPD feed; also filed as R••••• H••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jul 23, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 27, 2021 to Sep 7, 2023 · Southlake, Tx
- T• A••••••••• I••• formerMar 27, 2021 to Oct 14, 2022 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jul 23, 2022 (-411 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 27, 2021 (-566 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 15, 2026 · Advisor registration ended · derived
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address