DFX Intelligence
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Registered advisor
D••••• P•••••• H•••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
5 y
since Sep 3, 2021
In the industry
24 y
since Feb 25, 2002 (earliest exam, job or registration)
Prior registered firms
2
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
- F••••• I••••••••• independent RIA currentsince Sep 3, 2021 · Plano, Tx
- C••••• A•••••• N••••••• L•• formerJul 5, 2018 to Oct 1, 2018 · San Diego, Ca
- N••••••••• C•••••• M••••••••• L•• unclassifiedMar 12, 2002 to Oct 28, 2002 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• A•••••• N••••••• L•• to F••••• I•••••••••left Oct 1, 2018, registered Sep 3, 2021 (1068 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••••• C•••••• M••••••••• L•• to C••••• A•••••• N••••••• L••left Oct 28, 2002, registered Jul 5, 2018 (5729 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address