DFX Intelligence
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Registered advisor
C•••••• H• W••••••
Feed of 09/15/2026
Also filed as C•••••• H•••• W••••••••• H•••• W••••••••• H•••• W•••••• I••
At current firm
1 y
since Mar 31, 2025
In the industry
25 y
since Apr 16, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bethesda, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 28, 2013 to Jul 13, 2018 · Bethesda, Md
- M•• F•••••••• S•••••••• I••• formerNov 17, 2008 to May 7, 2013 · Elkridge, Md
- E•••••••• A•••••••• L•• national BDFeb 18, 2004 to Nov 22, 2006 · Columbia, Md
- W•••••• • R••• formerMar 22, 2002 to Oct 15, 2003 · Owings Mills, Md
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••left May 7, 2013, registered Jun 28, 2013 (52 days) · Other
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 22, 2006, registered Nov 17, 2008 (726 days) · Other
- W•••••• • R••• to E•••••••• A•••••••• L••left Oct 15, 2003, registered Feb 18, 2004 (126 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address