DFX Intelligence
RIA Intelligence
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Registered advisor
F••••••• A••••••• H•••
Feed of 09/15/2026
Also filed as F••••••• A•••••••
At current firm
13 y
since Dec 5, 2012
In the industry
43 y
since Oct 18, 1982 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Dec 5, 2012 · Rockville, Md
- J••••• M••••••••• S•••• L•• BD affiliatedJan 1, 1994 to Dec 11, 2012 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- J••••• M••••••••• S•••• L•• to R•• C•••••• M••••••• L••left Dec 11, 2012, registered Dec 5, 2012 (-6 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