DFX Intelligence
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Registered advisor
H•••• D•••••••
Feed of 09/15/2026
At current firm
5 y
since Feb 16, 2021
In the industry
31 y
since Nov 9, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Feb 16, 2021 · Chicago, Il
- M••••• S•••••• wirehouseMar 16, 2020 to Jan 7, 2021 · Deerfield, Il
- W•••• F•••• A••••••• wirehouseSep 9, 2015 to Mar 11, 2020 · Lake Forest, Il
- R•••••• J•••• • A••••••••• I••• national BDNov 20, 2013 to Apr 1, 2015 · Winnetka, Il
- F•••• T•••• S••••••••• I••• BD affiliatedDec 6, 2010 to Jun 21, 2013 · Mount Prospect, Il
- M••••• S•••••• wirehouseFeb 24, 2010 to Nov 18, 2010 · Barrington, Il
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Jan 7, 2021, registered Feb 16, 2021 (40 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M••••• S••••••left Mar 11, 2020, registered Mar 16, 2020 (5 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Apr 1, 2015, registered Sep 9, 2015 (161 days) · Affiliated broker-dealer or bank to wirehouse
- F•••• T•••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 21, 2013, registered Nov 20, 2013 (152 days) · Other
- M••••• S•••••• to F•••• T•••• S••••••••• I•••left Nov 18, 2010, registered Dec 6, 2010 (18 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address