DFX Intelligence
RIA Intelligence
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Registered advisor
H••••• I••• L•••
Feed of 09/14/2026
At current firm
18 y
since Sep 25, 2007
In the industry
42 y
since Feb 23, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- H••••• L••• R••••••••• I••••••••• A•••••• state r••••••••• currentsince Sep 25, 2007 · Sarasota, Fl
- W••••••• F•••••••• S•••••••• I••• formerJan 11, 2006 to Aug 30, 2007 · Sarasota, Fl
- W•••••• • R••• formerJun 19, 2003 to Dec 31, 2005 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to H••••• L••• R••••••••• I••••••••• A••••••left Aug 30, 2007, registered Sep 25, 2007 (26 days) · Other
- W•••••• • R••• to W••••••• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Jan 11, 2006 (11 days) · Other
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
- STATE R•••••••••derived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address