DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• H•••• M•••••
Feed of 09/14/2026
At current firm
7 y
since Oct 26, 2018
In the industry
37 y
since Sep 6, 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
- R•• C•••••• M••••••• L•• national BD currentsince Oct 26, 2018 · Oakbrook Terrace, Il
- U•• F•••••••• S••••••• I••• wirehouseOct 17, 2003 to Nov 7, 2018 · Oakbrook Terrace, Il
- M••••• S•••••• D• I••• unclassifiedAug 12, 2002 to Oct 21, 2003 · Rolling Meadows, Il
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Nov 7, 2018, registered Oct 26, 2018 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Oct 21, 2003, registered Oct 17, 2003 (-4 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address