DFX Intelligence
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Registered advisor
T•••••• A•• S•••
Feed of 09/15/2026
Also filed as T•••••• A•• W•••••
At current firm
10 y
since May 23, 2016
In the industry
18 y
since Jun 20, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 23, 2016 · Baden, Pa
- H••••••••• F•••••••• A••••••• BD affiliatedFeb 17, 2009 to Aug 18, 2010 · Beaver, Pa
- E••••• J•••• national BDJun 26, 2008 to Nov 13, 2008 · Monaca, Pa
Moves
a registration end followed by a registration begin elsewhere
- H••••••••• F•••••••• A••••••• to C••••• I••••••••• A••••••• L••left Aug 18, 2010, registered May 23, 2016 (2105 days) · Other
- E••••• J•••• to H••••••••• F•••••••• A•••••••left Nov 13, 2008, registered Feb 17, 2009 (96 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address