DFX Intelligence
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Registered advisor
V••••••• L••• H••••••
Feed of 09/14/2026
At current firm
1 y
since Jan 1, 2025
In the industry
25 y
since Apr 23, 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
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Bethesda, Md
- R•• C•••••• M••••••• L•• national BDMay 16, 2011 to Apr 12, 2013 · Washington, Dc
- M••••• S•••••• wirehouseJun 1, 2009 to May 19, 2011 · Bethesda, Md
- M••••• S•••••• • C•• L•• unclassifiedMay 12, 2008 to Jun 1, 2009 · Bethesda, Md
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to H•••••••• A•••••••• L••left Apr 12, 2013, registered Jan 1, 2025 (4282 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left May 19, 2011, registered May 16, 2011 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 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