DFX Intelligence
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Registered advisor
R•••••• L•• H•••
Feed of 09/14/2026
Also filed as R••• H•••
At current firm
4 y
since Oct 29, 2021
In the industry
32 y
since Feb 4, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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 29, 2021 · Redding, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 22, 2021 · Redding, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Redding, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Apr 2, 2007 · Redding, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•• C•••••• M••••••• L••left Nov 22, 2021, registered Oct 29, 2021 (-24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address