DFX Intelligence
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Registered advisor
D••••• F•••••• H•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D••••• F•••••• H••••••••• F•••••• H••••••••• F• H••••••••• H•••••
At current firm
6 y
since Jul 17, 2020
In the industry
43 y
since Sep 21, 1983 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jul 17, 2020 · Wake Forest, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 17, 2017 to Jul 17, 2020 · Cary, Nc
- S••••••••• A•••••• A•••••••• I••• formerFeb 26, 2015 to Mar 20, 2017 · Cary, Nc
- M•• F•••••••• S•••••••• I••• formerApr 8, 2008 to Mar 3, 2015 · Shelton, Ct
- A••••••••• W••••• M••••••••• G•••• L•• unclassifiedMar 31, 2005 to Mar 26, 2008 · Newtown, Ct
- A••••••••• unclassifiedAug 7, 2000 to Sep 8, 2005 · Danbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Mar 20, 2017, registered Mar 17, 2017 (-3 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Mar 3, 2015, registered Feb 26, 2015 (-5 days) · Other
- A••••••••• W••••• M••••••••• G•••• L•• to M•• F•••••••• S•••••••• I•••left Mar 26, 2008, registered Apr 8, 2008 (13 days) · Other
- A••••••••• to A••••••••• W••••• M••••••••• G•••• L••left Sep 8, 2005, registered Mar 31, 2005 (-161 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address