DFX Intelligence
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Registered advisor
D••••• S••••• H•••••
Feed of 09/14/2026
Also filed as D•• H•••••
At current firm
15 y
since Oct 14, 2010
In the industry
33 y
since Jan 21, 1993 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- O••••••••• • C•• I••• BD affiliated currentsince Oct 14, 2010 · Richmond, Va
- W•••• F•••• A••••••• wirehouseJul 4, 2007 to Oct 11, 2010 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Oct 11, 2010, registered Oct 14, 2010 (3 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address