DFX Intelligence
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Registered advisor
M••••• I•••• H••••
Feed of 09/14/2026
Also filed as I• M•• H••••••••• H••••••••• H••••••••• H••••••••• H••••••••• I• M•• H••••
At current firm
13 y
since Oct 1, 2012
In the industry
39 y
since Aug 13, 1987 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · La Canada, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 11, 2012 to Oct 1, 2012 · La Canada, Ca
- C••••• A••••••• L•• formerFeb 10, 2005 to Jun 8, 2012 · The Woodlands, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jan 20, 2005 · Northbrook, Il
- Q•••• • R•••••• I••• unclassifiedNov 24, 2003 to Oct 20, 2004 · Northbrook, Il
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 1998 to Dec 15, 2003 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Jun 8, 2012, registered Jun 11, 2012 (3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• A••••••• L••left Jan 20, 2005, registered Feb 10, 2005 (21 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to Q•••• • R•••••• I•••left Dec 15, 2003, registered Nov 24, 2003 (-21 days) · Other
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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address