DFX Intelligence
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Registered advisor
C••••• S•••• D•••••••••
Feed of 09/14/2026
Also filed as C••••• K•••••• S••••••••• S••••••••• D••••••••• S• D••••••••• S•••• D•••••••••
At current firm
3 y
since Jul 12, 2023
In the industry
24 y
since Sep 1, 2002 (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
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
- F••••• I••••••••• independent RIA currentsince Jul 12, 2023 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseOct 6, 2020 to Jul 1, 2023 · Kenner, La
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to F••••• I•••••••••left Jul 1, 2023, registered Jul 12, 2023 (11 days) · Wirehouse to independent RIA
Signals
- ••• LockedJul 1, 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address