DFX Intelligence
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Registered advisor
S••• H••••••••
Feed of 09/14/2026
Also filed as S••• H••••••••• S••• H••••••••• S••• H••••••••• S• H••••••••• S••• H••••••••
At current firm
18 y
since May 6, 2008
In the industry
27 y
since Jun 28, 1999 (earliest exam, job or registration)
Prior registered firms
1
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 6, 2008 · Louisville, Ky
- A•••••• A••••••• S••••••• formerJan 22, 2002 to Feb 13, 2009 · Elizabethtown, Ky
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 13, 2009, registered May 6, 2008 (-283 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address