DFX Intelligence
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Registered advisor
H••• H•• S•••••
Feed of 09/14/2026
At current firm
0 y
since Sep 24, 2025
In the industry
27 y
since Jul 21, 1999 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 24, 2025 · Fort Myers, Fl
- W•••• F•••• A••••••• wirehouseMar 23, 2009 to Oct 1, 2025 · Naples, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 10, 2004 to Mar 16, 2009 · Fort Myers, Fl
- M••••• S•••••• D• I••• unclassifiedJul 21, 1999 to Aug 4, 2004 · Ft. Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Oct 1, 2025, registered Sep 24, 2025 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 16, 2009, registered Mar 23, 2009 (7 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 4, 2004, registered Aug 10, 2004 (6 days) · Other
Signals
- ••• LockedOct 1, 2025 · Advisor changed firm · fact
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