DFX Intelligence
RIA Intelligence
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Registered advisor
R•••••• H••••• R••••
Feed of 09/15/2026
At current firm
13 y
since Feb 13, 2013
In the industry
26 y
since Jul 18, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Rockville, Md
- M••••• K••••• • C••••••• L•• formerAug 26, 2005 to Feb 13, 2013 · Rockville, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 16, 2000 to Sep 9, 2005 · Gaithersburg, Md
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to M••••• K••••• • C••••••• L••left Sep 9, 2005, registered Aug 26, 2005 (-14 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address