DFX Intelligence
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Registered advisor
J••••• H• Y•••
Feed of 09/14/2026
Also filed as J••••• H••••••• Y••••••••• Y••••••••• H• Y••••••••• Y•••
At current firm
5 y
since Aug 17, 2021
In the industry
29 y
since Jun 19, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 17, 2021 · New York, Ny
- C••••• A••••••• L•• formerSep 16, 2014 to Oct 5, 2017 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 23, 2010 to Oct 10, 2012 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 15, 2008 to Feb 9, 2010 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 31, 2006 to May 15, 2008 · Forest Hills, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Oct 5, 2017, registered Aug 17, 2021 (1412 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••• A••••••• L••left Oct 10, 2012, registered Sep 16, 2014 (706 days) · Other
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Feb 9, 2010, registered Sep 23, 2010 (226 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left May 15, 2008, registered Jul 15, 2008 (61 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address