DFX Intelligence
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Registered advisor
S••••• J•••• H••••••
Feed of 09/15/2026
At current firm
11 y
since Nov 25, 2014
In the industry
23 y
since Oct 30, 2002 (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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 25, 2014 · San Ramon, Ca
- M•• F•••••••• S•••••••• I••• formerApr 29, 2010 to Dec 4, 2014 · San Jose, Ca
- O•••• F•• I••• formerDec 18, 2002 to Apr 28, 2010 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 4, 2014, registered Nov 25, 2014 (-9 days) · Other
- O•••• F•• I••• to M•• F•••••••• S•••••••• I•••left Apr 28, 2010, registered Apr 29, 2010 (1 day) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address