DFX Intelligence
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Registered advisor
H••••• H•••••• E•••
Feed of 09/15/2026
Also filed as H••••• H•••••• E••••••••• H•••••• E••• S••••••••• E••• S••••••••• H•••••• E••• S••••
At current firm
8 y
since Oct 20, 2017
In the industry
15 y
since Jul 1, 2011 (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
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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 20, 2017 · Seattle, Wa
- E•••• S••••••••• L•• BD affiliatedFeb 20, 2014 to Sep 11, 2017 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 11, 2017, registered Oct 20, 2017 (39 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address