DFX Intelligence
RIA Intelligence
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Registered advisor
R•• H•••••• J••••••
Feed of 09/14/2026
At current firm
10 y
since Oct 1, 2015
In the industry
24 y
since Dec 31, 2001 (earliest exam, job or registration)
Prior registered firms
2
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
- P•••••••• S••••••••• I••• BD affiliated currentsince Oct 1, 2015 · Southport, Nc
- E•••••••• A•••••••• L•• national BDJun 3, 2009 to Sep 21, 2015 · Raleigh, Nc
- P••••••••• S••••••• I••• unclassifiedDec 31, 2001 to Dec 31, 2008 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Sep 21, 2015, registered Oct 1, 2015 (10 days) · Other
- P••••••••• S••••••• I••• to E•••••••• A•••••••• L••left Dec 31, 2008, registered Jun 3, 2009 (154 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
- 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