DFX Intelligence
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Registered advisor
L•••• H•••••
Feed of 09/14/2026
Also filed as L•••• P••• H••••••••• H•••••
At current firm
1 y
since Apr 8, 2025
In the industry
27 y
since Aug 1, 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
S65, S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Apr 8, 2025 · Corte Madera, Ca
- M••••• S•••••• wirehouseJan 4, 2023 to Feb 24, 2025 · Purchase, Ny
- E•••••• C•••••• M••••••••• L•• formerMay 28, 2009 to Sep 5, 2023 · Arlington, Va
- E•••••• A••••••• S•••••••• I••• unclassifiedSep 23, 2002 to Sep 22, 2003 · Ranco Cordova, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Feb 24, 2025, registered Apr 8, 2025 (43 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Jan 4, 2023 (-244 days) · corporate re-registration, not a move
- E•••••• A••••••• S•••••••• I••• to E•••••• C•••••• M••••••••• L••left Sep 22, 2003, registered May 28, 2009 (2075 days) · Other
Signals
- ••• LockedFeb 24, 2025 · Advisor changed firm · fact
Transition signals
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