DFX Intelligence
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Registered advisor
T•••••• M••••••• H•••••••
Feed of 09/14/2026
At current firm
5 y
since Apr 16, 2021
In the industry
24 y
since Feb 1, 2002 (earliest exam, job or registration)
Prior registered firms
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 16, 2021 · Latham, Ny
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJan 19, 2011 to Jun 30, 2014 · Latham, Ny
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 7, 2010 to Nov 24, 2010 · Lakewood, Co
- A••••••••• F•••••••• S•••••••• L•• national BDOct 3, 2006 to Sep 3, 2009 · Dedham, Ma
Moves
a registration end followed by a registration begin elsewhere
- G•••••• S•••• W••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Jun 30, 2014, registered Apr 16, 2021 (2482 days) · Other
- V•••• F•••••••• A•••••••• I••• to G•••••• S•••• W••••• S•••••••• L•••left Nov 24, 2010, registered Jan 19, 2011 (56 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Sep 3, 2009, registered Sep 7, 2010 (369 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address