DFX Intelligence
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Registered advisor
T••••• H•••• D•••••
Feed of 09/14/2026
Also filed as T••••• D••••••••• H• D••••••••• D•••••
At current firm
10 y
since Sep 9, 2016
In the industry
25 y
since Jan 30, 2001 (earliest exam, job or registration)
Prior registered firms
3
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 9, 2016 · Knoxville, Tn
- F•••• T•••• S••••••••• I••• BD affiliatedJul 20, 2011 to Apr 4, 2016 · Charleston, Wv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2006 to May 11, 2009 · Ashland, Ky
- M••••• S•••••• D• I••• unclassifiedApr 19, 2001 to Sep 26, 2006 · Lexington, Ky
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to T••••• A••••••• S•••••••• I•••left Apr 4, 2016, registered Sep 9, 2016 (158 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left May 11, 2009, registered Jul 20, 2011 (800 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 26, 2006, registered Sep 25, 2006 (-1 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address