DFX Intelligence
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Registered advisor
H•••••• L••• T•••••
Feed of 09/14/2026
At current firm
5 y
since Aug 30, 2021
In the industry
28 y
since Nov 6, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
Registration history
IAPD current and previous registrations
- P•• W••••• M••••••••• BD affiliated currentsince Aug 30, 2021 · Sun City, Az
- P•• M•••••• A•••••• S••••••••• I••• formerOct 15, 2010 to Aug 17, 2021 · Houston, Tx
- S• J•••• W••••• M••••••••• unclassifiedApr 13, 2010 to Oct 15, 2010 · Sun City, Az
Moves
a registration end followed by a registration begin elsewhere
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 30, 2021 (13 days) · corporate re-registration, not a move
- S• J•••• W••••• M••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 15, 2010, registered Oct 15, 2010 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address