DFX Intelligence
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Registered advisor
L•• H••••• L••••
Feed of 09/14/2026
Also filed as L•• H••••• L••••
At current firm
19 y
since Aug 31, 2007
In the industry
35 y
since Mar 4, 1991 (earliest exam, job or registration)
Prior registered firms
1
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
- L•• F•••••••• L•• BD affiliated currentsince Aug 31, 2007 · Sacramento, Ca
- S••• B•••••••• S••••••• unclassifiedNov 13, 2002 to Nov 6, 2007 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••• B•••••••• S••••••• to L•• F•••••••• L••left Nov 6, 2007, registered Aug 31, 2007 (-67 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address