DFX Intelligence
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Registered advisor
T••••• H••••• P••••••
Feed of 09/14/2026
Also filed as T••••• M• H••••••••• M••••••• H••••••••• M••••••• P••••••••• H• P••••••••• M••••••• H•••••
At current firm
6 y
since Dec 16, 2019
In the industry
26 y
since Jul 18, 2000 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Dec 16, 2019 · Nashville, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 13, 2016 to Nov 8, 2019 · Nashville, Tn
- S••••••• I••••••••• S•••••••• I••• formerMay 6, 2014 to Dec 31, 2016 · Nashville, Tn
- F•••• T•••• S••••••••• I••• BD affiliatedApr 16, 2010 to Feb 28, 2014 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseDec 14, 2007 to Apr 12, 2010 · Birmingham, Al
- W•••• F•••• A••••••• wirehouseNov 9, 2004 to Jan 10, 2006 · Greenwich, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2002 to Jun 18, 2004 · Franklin, Tn
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Nov 8, 2019, registered Dec 16, 2019 (38 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 13, 2016 (-109 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Feb 28, 2014, registered May 6, 2014 (67 days) · Other
- W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••left Apr 12, 2010, registered Apr 16, 2010 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 18, 2004, registered Nov 9, 2004 (144 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address