DFX Intelligence
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Registered advisor
H•••••• L••• J•••••
Feed of 09/14/2026
Also filed as H•••••• L••• D••••••••• L••• D••••••••• L••• D•••••••••
At current firm
19 y
since Jun 5, 2007
In the industry
28 y
since Aug 17, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Registered Client Service AssociatereportedWWW.RIESFINANCIALGROUP.COMfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 5, 2007 · Bel Air, Md
- R••• B••• • C•• unclassifiedAug 15, 2006 to Jun 5, 2007 · Bel Air, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Aug 16, 2006 · Bel Air, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 17, 2000 to Feb 21, 2006 · Bel Air, Md
Moves
a registration end followed by a registration begin elsewhere
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 5, 2007, registered Jun 5, 2007 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to R••• B••• • C••left Aug 16, 2006, registered Aug 15, 2006 (-1 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address