DFX Intelligence
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Registered advisor
R••••• F•••••• H•••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as R••••• F•••••• H••••••••• F• H•••••••
At current firm
6 y
since Sep 15, 2020
In the industry
37 y
since Mar 23, 1989 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 15, 2020 · Essex, Ct
- W•••• F•••• A••••••• wirehouseDec 7, 2016 to Sep 10, 2020 · New York, Ny
- P•••••• A•••••• G••••• L•• BD affiliatedApr 1, 2014 to Oct 25, 2016 · Bayshore, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••left Sep 10, 2020, registered Sep 15, 2020 (5 days) · Wirehouse to affiliated broker-dealer or bank
- P•••••• A•••••• G••••• L•• to W•••• F•••• A•••••••left Oct 25, 2016, registered Dec 7, 2016 (43 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address