DFX Intelligence
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Registered advisor
B•••• S•• H•• Y••••
Feed of 09/14/2026
At current firm
7 y
since Nov 2, 2018
In the industry
38 y
since Dec 30, 1987 (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, 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
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Honolulu, Hi
- S••••••• I••••••••• I••• formerApr 9, 2010 to Nov 2, 2018 · Honolulu, Hi
- P•••••••• S••••••••• I••• BD affiliatedJun 8, 2009 to Mar 16, 2010 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to S••••••• I••••••••• I•••left Mar 16, 2010, registered Apr 9, 2010 (24 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address