DFX Intelligence
RIA Intelligence
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Registered advisor
M•••••• H••••• E••••
Feed of 09/14/2026
At current firm
13 y
since Aug 21, 2013
In the industry
25 y
since Nov 28, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- C••••••• P••••••• independent RIA currentsince Aug 21, 2013 · Overland Park, Ks
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedMar 24, 2005 to Mar 28, 2007 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDMar 25, 2002 to Aug 1, 2013 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Aug 1, 2013, registered Mar 24, 2005 (-3052 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to C••••••• P•••••••left Mar 28, 2007, registered Aug 21, 2013 (2338 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address