DFX Intelligence
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Registered advisor
G••••• H••••• D•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as J•••• D••••••••• D••••••••• H• D••••••••• H• D••••••••• H••••• D••••••••• H••••• D•••••
At current firm
1 y
since Jun 13, 2025
In the industry
36 y
since Jul 27, 1990 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 13, 2025 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedMay 22, 2020 to Jun 12, 2025 · Charlottesville, Va
- A••••••••• F•••••••• S•••••••• L•• national BDNov 29, 2018 to Jun 2, 2020 · Charlottesville, Va
- P•••••• A•••••• G••••• L•• BD affiliatedSep 25, 2013 to Nov 29, 2018 · Charlottesville, Va
- W•••• F•••• A••••••• wirehouseJul 1, 2010 to Oct 18, 2013 · Charlottesville, Va
- C••••••••• F•••••••• N•••••• national BDFeb 11, 2004 to Jul 1, 2010 · Waynesboro, Va
- U•• F•••••••• S••••••• I••• wirehouseNov 16, 2000 to Feb 26, 2004 · Charlottesville, Va
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 12, 2025, registered Jun 13, 2025 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 2, 2020, registered May 22, 2020 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••• A•••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 29, 2018, registered Nov 29, 2018 (0 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to P•••••• A•••••• G••••• L••left Oct 18, 2013, registered Sep 25, 2013 (-23 days) · Other
- C••••••••• F•••••••• N•••••• to W•••• F•••• A•••••••left Jul 1, 2010, registered Jul 1, 2010 (0 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••left Feb 26, 2004, registered Feb 11, 2004 (-15 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJun 12, 2025 · a•••••• firm change · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address