DFX Intelligence
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Registered advisor
N•••• C•••••• H••••••
Feed of 09/22/2026
Also filed as N•••• C••••• C••••••••• C•••••• H••••••••• C•••••• C••••••
At current firm
4 y
since Oct 16, 2021
In the industry
25 y
since Oct 9, 2000 (earliest exam, job or registration)
Prior registered firms
0
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 21, 2026 · Albany, Ny
- R•• C•••••• M••••••• L•• national BD currentsince Oct 16, 2021 · Albany, Ny
Moves
a registration end followed by a registration begin elsewhere
No firm change on the tape.
Signals
- ••• LockedSep 21, 2026 · New state registration · fact
- ••• LockedSep 21, 2026 · New state registration · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address