DFX Intelligence
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Registered advisor
L•••••• K• H•••••
Feed of 09/14/2026
At current firm
9 y
since Oct 24, 2016
In the industry
24 y
since Oct 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
- W•••• F•••• A••••••• wirehouse currentsince Oct 24, 2016 · St Johns, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 28, 2015 to Aug 19, 2016 · Jacksonville, Fl
- W•••• F•••• A••••••• wirehouseMay 9, 2013 to Feb 20, 2015 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 3, 2007 to Mar 21, 2012 · Ponte Vedra Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••left Aug 19, 2016, registered Oct 24, 2016 (66 days) · Other
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Feb 20, 2015, registered Oct 28, 2015 (250 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 21, 2012, registered May 9, 2013 (414 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address