DFX Intelligence
RIA Intelligence
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Registered advisor
P••• S•••••• H••••••
Feed of 09/14/2026
At current firm
8 y
since May 9, 2018
In the industry
31 y
since Mar 4, 1995 (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, 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
- A•••• I••••••••• A•••••••• L••••• state registered currentsince May 9, 2018 · Fort Collins, Co
- S••• I••••••••• A••••••• unclassifiedMar 27, 2012 to Dec 31, 2013 · Southern Pines, Nc
- H••••••• P••• unclassifiedApr 4, 2011 to Jun 13, 2012 · Southern Pines, Nc
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJan 27, 1997 to Nov 26, 2008 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••• I••••••••• A••••••• to A•••• I••••••••• A•••••••• L•••••left Dec 31, 2013, registered May 9, 2018 (1590 days) · Other
- H••••••• P••• to S••• I••••••••• A•••••••left Jun 13, 2012, registered Mar 27, 2012 (-78 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to H••••••• P•••left Nov 26, 2008, registered Apr 4, 2011 (859 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address