DFX Intelligence
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Registered advisor
L••• R•••• M••••••
Feed of 09/14/2026
Also filed as L••• R•••• H•••••
At current firm
15 y
since Jun 17, 2011
In the industry
37 y
since Jan 4, 1989 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 17, 2011 · Honolulu, Hi
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 15, 2011 · Honolulu, Hi
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 27, 1993 to Jun 1, 2009 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 15, 2011, registered Jun 17, 2011 (-28 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address