DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
At current firm
0 y
since Apr 17, 2026
In the industry
34 y
since Sep 27, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- M••••• S•••••• wirehouse currentsince Apr 17, 2026 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 13, 2014 to Apr 29, 2026 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 19, 2014 · Short Hills, Nj
- M••••• S•••••• • C•• L•• unclassifiedMay 23, 2008 to Jun 1, 2009 · Short Hills, Nj
- J• B• H•••••• • C•• unclassifiedJul 12, 1993 to May 27, 2008 · Parsippany, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 29, 2026, registered Apr 17, 2026 (-12 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 19, 2014, registered Nov 13, 2014 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J• B• H•••••• • C•• to M••••• S•••••• • C•• L••left May 27, 2008, registered May 23, 2008 (-4 days) · Other
Signals
- J•••••• I• W•••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2026-04-17)Apr 29, 2026 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address