DFX Intelligence
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Registered advisor
H••••• A•••• S•••••••••
Feed of 09/14/2026
Also filed as H••••• A• S••••••••• A• S•••••••••
At current firm
13 y
since Nov 29, 2012
In the industry
19 y
since May 29, 2007 (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, S63
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••••• S•••••• wirehouse currentsince Nov 29, 2012 · Shrewsbury, Nj
- B••••••• C•••••• I••• formerJan 21, 2009 to Dec 6, 2012 · New York, Ny
- L••••• B••••••• I••• unclassifiedMar 31, 2008 to Oct 15, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to M••••• S••••••left Dec 6, 2012, registered Nov 29, 2012 (-7 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address