DFX Intelligence
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Registered advisor
L•••• H•••••
Feed of 09/14/2026
Also filed as L•••• A•• Z••••••••• A•• Z••••••••• A•• H•••••
At current firm
9 y
since Aug 18, 2017
In the industry
21 y
since Oct 20, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 18, 2017 · Mclean, Va
- W•••• F•••• A••••••• wirehouseApr 25, 2012 to Jul 28, 2017 · Minneapolis, Mn
- M••••• S•••••• wirehouseOct 22, 2010 to Apr 19, 2012 · Mclean, Va
- W•••• F•••• A••••••• wirehouseJun 10, 2009 to Oct 5, 2010 · Mclean, Va
- W•••• F•••• A••••••• wirehouseFeb 14, 2006 to Jan 11, 2007 · Mclean, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 26, 2005 to Dec 21, 2005 · Mclean, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 28, 2017, registered Aug 18, 2017 (21 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 19, 2012, registered Apr 25, 2012 (6 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M••••• S••••••left Oct 5, 2010, registered Oct 22, 2010 (17 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Dec 21, 2005, registered Feb 14, 2006 (55 days) · Other
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address