DFX Intelligence
RIA Intelligence
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Registered advisor
F••••• H••••• H•••••••
Feed of 09/15/2026
At current firm
6 y
since Apr 6, 2020
In the industry
28 y
since Jan 19, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
11
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
- S•••••• S••••••••• I••• BD affiliated currentsince Apr 6, 2020 · Nashville, Tn
- M••••• S•••••• D• I••• unclassifiedDec 16, 2002 to May 1, 2006 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• D• I••• to S•••••• S••••••••• I•••left May 1, 2006, registered Apr 6, 2020 (5089 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address