DFX Intelligence
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Registered advisor
K•••• D••••••• H••••••
Feed of 09/15/2026
Also filed as K•••• A••• H••••••••• A••• D••••••••• A••• D•••••••
At current firm
11 y
since Apr 30, 2015
In the industry
40 y
since May 29, 1986 (earliest exam, job or registration)
Prior registered firms
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 30, 2015 · Richmond, Va
- W•••• F•••• A••••••• wirehouseMar 17, 2006 to May 7, 2015 · Richmond, Va
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2000 to Mar 30, 2006 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left May 7, 2015, registered Apr 30, 2015 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Mar 30, 2006, registered Mar 17, 2006 (-13 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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address