DFX Intelligence
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Registered advisor
R•••••• H•••• B•••••
Feed of 09/15/2026
Also filed as R•••••• H•••• W••••••••• H• B•••••
At current firm
4 y
since May 24, 2022
In the industry
36 y
since Aug 28, 1990 (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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince May 24, 2022 · The Villages, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 29, 2020 to Dec 9, 2022 · Pittsburgh, Pa
- T• A••••••••• I••• formerMay 29, 2020 to Oct 14, 2022 · Pittsburgh, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 10, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 17, 2008 to Jul 13, 2018 · Johnson City, Tn
- C•••••• S••••• • C••• I••• national BDJan 3, 2002 to Nov 25, 2003 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Dec 9, 2022, registered May 24, 2022 (-199 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered May 29, 2020 (-868 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to T• A••••••••• I•••left Sep 10, 2019, registered May 29, 2020 (262 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Nov 25, 2003, registered Mar 17, 2008 (1574 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address