DFX Intelligence
RIA Intelligence
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Registered advisor
D•• E•••• H••••••
Feed of 09/15/2026
At current firm
4 y
since Jan 27, 2022
In the industry
33 y
since Aug 6, 1993 (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
S66, 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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 27, 2022 · Lone Tree, Co
- T• A••••••••• I••• formerApr 11, 2014 to Oct 14, 2022 · Fort Worth, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 24, 2005 to Jul 6, 2023 · Fort Worth, Tx
- S•••••••• A••••••• L•• national BDApr 4, 2001 to May 16, 2003 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 6, 2023, registered Apr 11, 2014 (-3373 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jan 27, 2022 (-260 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left May 16, 2003, registered Jan 24, 2005 (619 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address