DFX Intelligence
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Registered advisor
H••••• E•••••• C••••••••
Feed of 09/14/2026
Also filed as H••••• E•••••• C•••••••• R••••••••
At current firm
1 y
since May 15, 2025
In the industry
20 y
since Jun 24, 2006 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 15, 2025 · Houston, Tx
- M••••• S•••••• wirehouseMay 15, 2014 to May 28, 2025 · Houston, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 13, 2010 to May 23, 2014 · Chicago, Il
- C•••• I••••••••• S••••••• C•••• formerMay 14, 2008 to Dec 10, 2010 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 26, 2006 to Mar 4, 2008 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 28, 2025, registered May 15, 2025 (-13 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left May 23, 2014, registered May 15, 2014 (-8 days) · Other
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Dec 10, 2010, registered Dec 13, 2010 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Mar 4, 2008, registered May 14, 2008 (71 days) · Other
Signals
- ••• LockedMay 28, 2025 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address