DFX Intelligence
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Registered advisor
S•••• L••••• H•••••
Feed of 09/14/2026
Also filed as S•••• L••••• H••••••••• L••••• H••••••••• L• H•••••
At current firm
1 y
since Nov 14, 2024
In the industry
42 y
since Jul 2, 1984 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Bedminster, Nj
- P•••• S••••••••• L•• no RAUMJan 26, 2024 to Nov 14, 2024 · Basking Ridge, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 2, 2004 to Jan 11, 2006 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedJan 3, 2003 to Apr 1, 2004 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Jan 11, 2006, registered Jan 26, 2024 (6589 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 1, 2004, registered Apr 2, 2004 (1 day) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address