DFX Intelligence
RIA Intelligence
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Registered advisor
P••• M•••••• H•••••••••
Feed of 09/15/2026
At current firm
12 y
since Dec 2, 2013
In the industry
26 y
since Dec 23, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- L•• F•••••••• L•• BD affiliated currentsince Dec 2, 2013 · Morganfield, Ky
- W••• S••••• F•••••••• G••••• I•• formerJul 2, 2002 to Nov 22, 2013 · Victor, Ny
Moves
a registration end followed by a registration begin elsewhere
- W••• S••••• F•••••••• G••••• I•• to L•• F•••••••• L••left Nov 22, 2013, registered Dec 2, 2013 (10 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address