DFX Intelligence
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Registered advisor
D•••• H••••••
Feed of 09/14/2026
Also filed as D•••• J• Z••••••••• J••• H••••••
At current firm
1 y
since Mar 31, 2025
In the industry
23 y
since Jan 15, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Smithtown, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 16, 2021 to Mar 31, 2025 · Roslyn, Ny
- C•••••• S••••• • C••• I••• national BDAug 2, 2018 to Apr 23, 2021 · New York City, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 7, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 23, 2015 to Jul 13, 2018 · Roslyn, Ny
- C•••••• S••••• • C••• I••• national BDAug 12, 2008 to May 28, 2013 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 23, 2021, registered Nov 16, 2021 (207 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Aug 7, 2018, registered Aug 2, 2018 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left May 28, 2013, registered Jan 23, 2015 (605 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address