DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
13 y
since Sep 10, 2013
In the industry
29 y
since Nov 15, 1996 (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
- S•• BD affiliated currentsince Sep 10, 2013 · Ann Arbor, Mi
- S•• BD affiliatedJan 12, 2006 to Dec 31, 2007 · Troy, Mi
- H•••• F•••••••• S•••••••• I••• independent RIAFeb 28, 2000 to Nov 13, 2003 · Woodhaven, Mi
Moves
a registration end followed by a registration begin elsewhere
- H•••• F•••••••• S•••••••• I••• to S••left Nov 13, 2003, registered Jan 12, 2006 (791 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