DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••••• H••••• Q•••••••••
Feed of 09/15/2026
Also filed as S•••••• A• H••••••••• A•• Q••••••••• A•• H••••••••• H••••• Q••••••••• H• Q•••••••••
At current firm
5 y
since Jun 11, 2021
In the industry
39 y
since Jan 13, 1987 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, 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
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 12, 2025 · Newport Beach, Ca
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 11, 2021 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 18, 2003 to Jun 14, 2021 · Newport Beach, Ca
- J••• M••••• S••••••••• I••• unclassifiedMar 13, 2000 to Mar 19, 2003 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Jun 14, 2021, registered Jun 11, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 19, 2003, registered Mar 18, 2003 (-1 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address