DFX Intelligence
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Registered advisor
H•• C•••• S••••••
Feed of 09/14/2026
Also filed as S••• S••••••
At current firm
11 y
since Dec 17, 2014
In the industry
40 y
since Jan 29, 1986 (earliest exam, job or registration)
Prior registered firms
4
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
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 17, 2014 · Encino, Ca
- R•••••• J•••• • A••••••••• I••• national BDDec 2, 2010 to Dec 12, 2014 · Pasadena, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 11, 2009 to Dec 9, 2010 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 6, 2003 to Mar 2, 2009 · San Rafael, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to May 8, 2003 · San Rafael, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 12, 2014, registered Dec 17, 2014 (5 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 9, 2010, registered Dec 2, 2010 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Mar 2, 2009, registered Feb 11, 2009 (-19 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left May 8, 2003, registered May 6, 2003 (-2 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address