DFX Intelligence
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Registered advisor
H•••• H••
Feed of 09/14/2026
At current firm
1 y
since Nov 1, 2024
In the industry
23 y
since Aug 11, 2003 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 1, 2024 · Rockaway, Nj
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 5, 2018 to Apr 27, 2021 · Wall Township, Nj
- E•••••••• A•••••••• L•• national BDDec 19, 2017 to Dec 6, 2018 · Wall, Nj
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Sep 8, 2017 · Poughkeepsie, Ny
- L•• F•••••••• L•• BD affiliatedAug 10, 2016 to Sep 21, 2016 · Nyack, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 30, 2015 to Aug 9, 2016 · Red Bank, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 3, 2015 · Red Bank, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Red Bank, Nj
- M••••• S•••••• D• I••• unclassifiedAug 11, 2003 to Apr 2, 2007 · Red Bank, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 27, 2021, registered Nov 1, 2024 (1284 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 6, 2018, registered Dec 5, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to E•••••••• A•••••••• L••left Sep 8, 2017, registered Dec 19, 2017 (102 days) · Other
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Aug 9, 2016, registered Aug 10, 2016 (1 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 3, 2015, registered Jan 30, 2015 (-4 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address