DFX Intelligence
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S•••••••• M••••••• P•••••
Registered advisorat M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dual registrant· Irving, TxIAPD 7542097
As of · the IAPD feed; also filed as P• S• M•••••••
- At current firm
- 3 y
- In the industry
- 21 y
- Prior registered firms
- 0
- Signals
- 0
since Feb 28, 2023
As of · the IAPD feed; also filed as P• S• M•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter brief
facts first, then what DFX measured about them; never a statement of intent
Recruiting value
- Practice attractivenessnoneno observable scale indicator beyond registration
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilestrongDetails are shown to subscribers.
- Real estate activitysomeDetails are shown to subscribers.
- Contactabilitystrongverified business email (hunter)
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Highly elevated band.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone1 prior firm, median stay 0.1 years.
Career
- 3.6 years in the industry
- 3.6 years at the current firm
- 1 prior registered firm; median stay 0.1 years
Source: the per-person IAPD record (broker and adviser registrations)
Licensing and credentials
- Registered in 10 states (firm median 2)
- Exams: SIE, Series 66, Series 7TO
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 1 known colleagues changed firms in the last year
Regulatory record
Shown to subscribers, with the official record linked.
Outside business and networkWhat is shown hereEvery item is the advisor’s own outside-business disclosure on Form U4, read from the IAPD feed, so the link between the advisor and the company is theirs, not DFX’s guess. Each company is then looked up in public records (state registries, SEC Form D, the IRS exempt-organisation file, SBA loans, Form ADV, assessor rolls), and every fact on its page names its record. Personal items (a trusteeship for a relative, a home, a side job) and every address are left out. People connected through these companies are observed business connections, never assumed clients.
what the advisor disclosed on Form U4, and what the public record says each company is
Observed business footprint
- 3 disclosed outside organisations
- Owner, founder or manager of 3
Why it may matter
- strongEntrepreneurial activityOwns, founded or manages 3 business entities outside the advisory practice (self-disclosed on Form U4).
- someReal estate activity1 real-estate entity disclosed.
- strongExternal business breadthOutside business spans 3 categories: operating company, real estate, technology.
- A• S•••• T••••••••• L••Operating companyManaging member, Partner, Other role · since 2018-10-26
Rental cars through the Turo app (the advisor's own disclosure)
Owns or founded an operating company outside the advisory practice.
self-disclosed on Form U4 - S••• E••••••••• L••Real estateManaging member, Partner, Other role · since 2017-10-11
Single family homes rented to tenants in Dallas (the advisor's own disclosure)
Owns or founded a real-estate entity outside the advisory practice.
self-disclosed on Form U4 - A••••• S•••••• L••TechnologyManaging member, Partner, Other role · since 2016-08-16
Software company; the entity is closed (the advisor's own disclosure)
Owns or founded a technology company outside the advisory practice.
self-disclosed on Form U4
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 28, 2023 · Irving, Tx
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote