DFX Intelligence
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Registered advisor
A•• S•• T•••••
Feed of 09/14/2026
Also filed as A•• S•• H••••••
At current firm
5 y
since Nov 19, 2020
In the industry
27 y
since Jan 28, 1999 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••••• A•••••••• L•• BD affiliated currentsince Nov 19, 2020 · Traverse City, Mi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 23, 2019 to Oct 19, 2020 · Traverse City, Mi
- C••••••••• F•••••••• N•••••• national BDJan 19, 2018 to Apr 12, 2019 · Traverse City, Mi
- R•••••• J•••• • A••••••••• I••• national BDSep 24, 2010 to Dec 20, 2017 · Traverse City, Mi
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H•••••••• A•••••••• L••left Oct 19, 2020, registered Nov 19, 2020 (31 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 12, 2019, registered May 23, 2019 (41 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to C••••••••• F•••••••• N••••••left Dec 20, 2017, registered Jan 19, 2018 (30 days) · Affiliated broker-dealer or bank to another
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address