DFX Intelligence
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Registered advisor
D•••• T•••••• H••••••
Feed of 09/14/2026
At current firm
13 y
since Jun 25, 2013
In the industry
37 y
since Oct 28, 1988 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Jun 25, 2013 · Richmond, Va
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Jun 7, 2004 · New York, Ny
- P••••••• L•• unclassifiedJul 9, 2002 to Jan 17, 2003 · Bala Cynwyd, Pa
Moves
a registration end followed by a registration begin elsewhere
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Jun 7, 2004, registered Jun 25, 2013 (3305 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address