DFX Intelligence
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Registered advisor
M•••••• H••• P•••••
Feed of 09/14/2026
Also filed as M•••••• S••••••••• S••••••• H••••••••• S••••••• P••••••••• D•••• S••••••••• H••• P•••••
At current firm
10 y
since Dec 4, 2015
In the industry
34 y
since Feb 24, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 4, 2015 · Dallas, Tx
- B••••••• C•••••• I••• formerAug 23, 2011 to Dec 4, 2015 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 23, 2011 · Dallas, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 16, 2002 to Oct 23, 2009 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• C•••••• I•••left Aug 23, 2011, registered Aug 23, 2011 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address