DFX Intelligence
RIA Intelligence
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Registered advisor
N••••• E••••• D•••••••
Feed of 09/14/2026
Also filed as N••••• E••••• D•••••••
At current firm
4 y
since Jul 15, 2022
In the industry
11 y
since Aug 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jul 15, 2022 · Frisco, Tx
- F••••• I••••••••• independent RIAMay 20, 2020 to Apr 4, 2022 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••• I••••••••• to A••••• A•• P••••••• S•••••••left Apr 4, 2022, registered Jul 15, 2022 (102 days) · RIA to affiliated broker-dealer or bank
Signals
- N••••• E••••• D••••••• left F••••• I••••••••• for A••••• A•• P••••••• S••••••• (registered 2022-07-15)Apr 4, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address