DFX Intelligence
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Registered advisor
H••••• H••••• T•••••
Feed of 09/14/2026
Also filed as H•• T••••••••• H••••• T••••••••• T•••••
At current firm
7 y
since Jul 24, 2019
In the industry
43 y
since Jun 22, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jul 24, 2019 · Minnetonka, Mn
- R•• C•••••• M••••••• L•• national BDApr 19, 2005 to Aug 7, 2019 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Aug 7, 2019, registered Jul 24, 2019 (-14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address