DFX Intelligence
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Registered advisor
R••••• H••••••• L••••
Feed of 09/14/2026
Also filed as R••••• H• L••••
At current firm
4 y
since Oct 11, 2021
In the industry
27 y
since Aug 12, 1999 (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
S63, 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 Oct 11, 2021 · Miami, Fl
- W•••• F•••• A••••••• wirehouseOct 4, 2013 to Oct 22, 2021 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 1, 2010 to Oct 4, 2013 · Coral Gables, Fl
- U•• I••••••••• I••• unclassifiedJul 17, 2007 to Jan 1, 2010 · Coral Gables, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 28, 2006 to Jul 12, 2007 · Miami, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 26, 2006 to Jun 28, 2006 · Miami, Fl
All 8 prior registrationsShow fewer
- T• A••••••••• I••• formerJun 27, 2005 to Jun 28, 2006 · Miami, Fl
- C•••• I••••••••• S••••••• C•••• formerAug 17, 2004 to Jun 21, 2005 · Union, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 19, 2003 to Aug 12, 2004 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Oct 22, 2021, registered Oct 11, 2021 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 4, 2013, registered Oct 4, 2013 (0 days) · Wirehouse to wirehouse
- U•• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••left Jul 12, 2007, registered Jul 17, 2007 (5 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 28, 2006, registered Apr 26, 2006 (-63 days) · channel change inside one enterprise, not a move
All 8 movesShow fewer
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 28, 2006, registered Jul 28, 2006 (30 days) · Other
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••left Jun 21, 2005, registered Jun 27, 2005 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Aug 12, 2004, registered Aug 17, 2004 (5 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address