DFX Intelligence
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Registered advisor
A••••• P•••• H•••
Feed of 09/14/2026
Also filed as A••• H•••
At current firm
3 y
since Aug 11, 2023
In the industry
26 y
since Jul 13, 2000 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 11, 2023 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 9, 2018 to Sep 7, 2023 · Southlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 11, 2007 to Feb 25, 2015 · Fort Worth, Tx
- T• A••••••••• I••• formerJan 11, 2007 to Oct 14, 2022 · Fort Worth, Tx
- J••••• M••••••••• S•••• L•• BD affiliatedJun 25, 2005 to Dec 20, 2006 · Pittsburgh, Pa
- P••••••••• I••••••••• unclassifiedFeb 1, 2005 to Jun 25, 2005 · Pittsburgh, Pa
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 30, 2003 to Jul 27, 2004 · Moon Township, Pa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 11, 2023 (-27 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Aug 9, 2018 (-1527 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Feb 25, 2015, registered Jan 11, 2007 (-2967 days) · channel change inside one enterprise, not a move
- J••••• M••••••••• S•••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Dec 20, 2006, registered Jan 11, 2007 (22 days) · Other
- P••••••••• I••••••••• to J••••• M••••••••• S•••• L••left Jun 25, 2005, registered Jun 25, 2005 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to P••••••••• I•••••••••left Jul 27, 2004, registered Feb 1, 2005 (189 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
- 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