DFX Intelligence
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Registered advisor
P••• W•••••• H•••••
Feed of 09/14/2026
Also filed as P••• H•••••
At current firm
8 y
since Mar 8, 2018
In the industry
27 y
since Feb 11, 1999 (earliest exam, job or registration)
Prior registered firms
6
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
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 8, 2018 · Hartfod, Ct
- P•••••• A•••••• G••••• L•• BD affiliatedJun 4, 2012 to Mar 8, 2018 · Hartford, Ct
- M•• F•••••••• S•••••••• I••• formerNov 17, 2010 to Jun 12, 2012 · Glastonbury, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 18, 2010 · Hartford, Ct
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Hartford, Ct
- M••••• S•••••• D• I••• unclassifiedJun 29, 2004 to Apr 2, 2007 · Hartford, Ct
- P••••••••• R••••••••• B•••••••• S•••••••• I••• unclassifiedJul 22, 2002 to Jun 25, 2004 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- P•••••• A•••••• G••••• L•• to K••••• A••••••• S•••••••• L••left Mar 8, 2018, registered Mar 8, 2018 (0 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••••• A•••••• G••••• L••left Jun 12, 2012, registered Jun 4, 2012 (-8 days) · Other
- M••••• S•••••• to M•• F•••••••• S•••••••• I•••left Nov 18, 2010, registered Nov 17, 2010 (-1 days) · Other
- 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
- P••••••••• R••••••••• B•••••••• S•••••••• I••• to M••••• S•••••• D• I•••left Jun 25, 2004, registered Jun 29, 2004 (4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address