DFX Intelligence
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Registered advisor
H••• W•••••• M••••••
Feed of 09/14/2026
Also filed as H••• W•••••• K•••••
At current firm
13 y
since Oct 8, 2012
In the industry
24 y
since Nov 20, 2001 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Oct 8, 2012 · Traverse City, Mi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 2, 2012 · Traverse City, Mi
- C•••• I••••••••• S••••••• C•••• formerDec 16, 2011 to Oct 1, 2012 · Cedar, Mi
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 7, 2009 to Aug 3, 2011 · Atlanta, Ga
- M•• F•••••••• S•••••••• I••• formerDec 14, 2006 to Jul 23, 2009 · Kennesaw, Ga
- E•••••••• A•••••••• L•• national BDApr 8, 2002 to Dec 31, 2002 · Troy, Mi
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to F•••• T•••• S••••••••• I•••left Oct 2, 2012, registered Oct 8, 2012 (6 days) · Other
- 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
- M•• I•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 3, 2011, registered Dec 16, 2011 (135 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 23, 2009, registered Aug 7, 2009 (15 days) · Other
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2002, registered Dec 14, 2006 (1444 days) · Other
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
- 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