DFX Intelligence
RIA Intelligence
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Registered advisor
H••••• K•••••••• D•••
Feed of 09/14/2026
At current firm
11 y
since Jul 7, 2015
In the industry
43 y
since Oct 26, 1982 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 7, 2015 · Savannah, Ga
- S••••• A••• A•••• M••••••••• I••• formerMar 15, 2005 to Jul 7, 2015 · Birmingham, Al
- S•••••• A••• • L••••• I••• unclassifiedApr 24, 2003 to Jan 3, 2007 · Savannah, Ga
Moves
a registration end followed by a registration begin elsewhere
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
- S•••••• A••• • L••••• I••• to S••••• A••• A•••• M••••••••• I•••left Jan 3, 2007, registered Mar 15, 2005 (-659 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address