DFX Intelligence
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Registered advisor
S••••• D••• H•• H••••
Feed of 09/14/2026
Also filed as S••••• D••••••• H••••••••• D••••••• H••••
At current firm
7 y
since Nov 16, 2018
In the industry
25 y
since Aug 8, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- E•••• S••••••••• L•• BD affiliated currentsince Nov 16, 2018 · Irving, Tx
- P••• A••••• S••••••••• L•• BD affiliatedMar 18, 2015 to Jan 3, 2017 · Fort Worth, Tx
- P•••• S••••••••• L•• no RAUMJan 3, 2011 to Jan 23, 2012 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to E•••• S••••••••• L••left Jan 3, 2017, registered Nov 16, 2018 (682 days) · Other
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Jan 23, 2012, registered Mar 18, 2015 (1150 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