DFX Intelligence
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Registered advisor
L••• A•• H•••••
Feed of 09/14/2026
Also filed as L••• A• H•••••
At current firm
2 y
since Feb 27, 2024
In the industry
24 y
since May 3, 2002 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 27, 2024 · Rocky Mount, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 21, 2022 to Jan 12, 2024 · Raleigh, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDOct 29, 2021 to Jan 4, 2022 · Rocky Mount, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 10, 2020 to Apr 21, 2021 · Raleigh, Nc
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 17, 2019 · Pennington, Nj
- C•••• I••••••••• S••••••• C•••• formerJan 27, 2010 to Oct 1, 2012 · Pennington, Nj
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Jan 5, 2010 · Manalapan, Nj
- I••• S••••••••• I••• unclassifiedMar 28, 2007 to May 27, 2008 · Manalapan, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 10, 2005 to Oct 13, 2006 · E. Brunswick, Nj
- Q•••• • R•••••• I••• unclassifiedSep 6, 2002 to Jul 9, 2004 · Lakewood, Nj
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T••••• A••••••• S•••••••• I•••left Jan 12, 2024, registered Feb 27, 2024 (46 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 4, 2022, registered Jan 21, 2022 (17 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Apr 21, 2021, registered Oct 29, 2021 (191 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 17, 2019, registered Jan 10, 2020 (115 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•••• I••••••••• S••••••• C••••left Jan 5, 2010, registered Jan 27, 2010 (22 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to I••• S••••••••• I•••left Oct 13, 2006, registered Mar 28, 2007 (166 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 9, 2004, registered Aug 10, 2005 (397 days) · Other
Signals
- ••• LockedJan 12, 2024 · Advisor changed firm · fact
- ••• LockedJan 4, 2022 · Advisor changed firm · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address