DFX Intelligence
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Registered advisor
R•••• H• S•••• J••
Feed of 09/15/2026
Also filed as R•••• H••• S••••
At current firm
1 y
since Aug 11, 2025
In the industry
24 y
since Jul 10, 2002 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Aug 11, 2025 · Danville, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 29, 2008 to Sep 4, 2025 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Sep 4, 2025, registered Aug 11, 2025 (-24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedSep 4, 2025 · Advisor changed firm · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address