DFX Intelligence
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Registered advisor
R••••• A•••••• H••••
Feed of 09/14/2026
At current firm
4 y
since Nov 10, 2021
In the industry
34 y
since Jun 17, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
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
- C••••••• institutional currentsince Nov 10, 2021 · Woodland Hills, Ca
- E•••••••• A•••••••• L•• national BDJan 26, 2018 to Feb 21, 2020 · Woodland Hills, Ca
- L•• F•••••••• L•• BD affiliatedApr 16, 2015 to Nov 3, 2017 · Woodland Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 16, 2011 to Jan 20, 2015 · Northridge, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Apr 27, 2011 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C•••••••left Feb 21, 2020, registered Nov 10, 2021 (628 days) · Other
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Nov 3, 2017, registered Jan 26, 2018 (84 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 20, 2015, registered Apr 16, 2015 (86 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 27, 2011, registered May 16, 2011 (19 days) · Wirehouse to wirehouse
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
- Institutional managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address