DFX Intelligence
RIA Intelligence
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Registered advisor
J•••• R••••• H•••••
Feed of 09/14/2026
At current firm
4 y
since Dec 10, 2021
In the industry
42 y
since Nov 30, 1983 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- C••••••••• F•••••••• N•••••• national BD currentsince Dec 10, 2021 · Seattle, Wa
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2020 to Dec 21, 2021 · Seattle, Wa
- A•••• P•••• A••••••• formerNov 6, 2020 to Jan 26, 2021 · Seattle, Wa
- K•• F•••••••• S•••••••• I•• formerJul 13, 1999 to Nov 6, 2020 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Dec 21, 2021, registered Dec 10, 2021 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- A•••• P•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Jan 26, 2021, registered Nov 6, 2020 (-81 days) · channel change inside one enterprise, not a move
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · 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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address