DFX Intelligence
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Registered advisor
M•••• H••••••••
Feed of 09/15/2026
Also filed as M••••• H••••••••
At current firm
8 y
since Jun 12, 2018
In the industry
28 y
since Jan 12, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 12, 2018 · Chicago, Il
- F•••• T•••• S••••••••• I••• BD affiliatedMay 29, 2015 to Jul 24, 2017 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 6, 2015 · Boston, Ma
- L•••••• F•••••••• S•••••••• I••• unclassifiedJan 15, 2008 to Oct 23, 2008 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 14, 2004 to Oct 23, 2009 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 24, 2017, registered Jun 12, 2018 (323 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Apr 6, 2015, registered May 29, 2015 (53 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•••••• F•••••••• S•••••••• I•••left Oct 23, 2009, registered Jan 15, 2008 (-647 days) · Other
- L•••••• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2008, registered Oct 23, 2009 (365 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address