DFX Intelligence
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Registered advisor
H•••• A••• E••••
Feed of 09/14/2026
At current firm
5 y
since Jul 13, 2021
In the industry
18 y
since Jun 20, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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 Jul 13, 2021 · Sarasota, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Jun 28, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Bradenton, Fl
- B••• I••••••••• S•••••••• I••• formerNov 25, 2009 to Jan 2, 2018 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseJun 25, 2008 to Nov 17, 2009 · Sarasota, Fl
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 28, 2021, registered Jul 13, 2021 (15 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Nov 17, 2009, registered Nov 25, 2009 (8 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address