DFX Intelligence
RIA Intelligence
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Registered advisor
A••••• H•••• S••••••••
Feed of 09/14/2026
At current firm
12 y
since Sep 5, 2014
In the industry
39 y
since Oct 28, 1986 (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
S63, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 5, 2014 · Minneapolis, Mn
- L•••••• I••••••••• independent RIAOct 6, 2010 to Aug 18, 2014 · Fort Washington, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDSep 24, 2003 to Sep 28, 2010 · Chester, Pa
Moves
a registration end followed by a registration begin elsewhere
- L•••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 18, 2014, registered Sep 5, 2014 (18 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left Sep 28, 2010, registered Oct 6, 2010 (8 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address