DFX Intelligence
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Registered advisor
H•••••••• Y•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••••• H• Y••••••••• Y•• Y•••
At current firm
5 y
since Jan 22, 2021
In the industry
23 y
since Jan 7, 2003 (earliest exam, job or registration)
Prior registered firms
7
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
- M••••• S•••••• wirehouse currentsince Jan 22, 2021 · Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 27, 2021 · Milpitas, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 7, 2009 to Jan 3, 2011 · Santa Clara, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Apr 23, 2009 · San Jose, Ca
- C••••••• I••••••••• S••••••• unclassifiedDec 19, 2006 to May 29, 2007 · Newark, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 31, 2006 to Dec 11, 2006 · San Jose, Ca
All 7 prior registrationsShow fewer
- C••••••• I••••••••• S••••••• unclassifiedJun 22, 2004 to Oct 5, 2006 · Milpitas, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 8, 2003 to Jun 23, 2003 · Campbell, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Jan 27, 2021, registered Jan 22, 2021 (-5 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••left Apr 23, 2009, registered Apr 7, 2009 (-16 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C••••••• I••••••••• S•••••••left Dec 11, 2006, registered Dec 19, 2006 (8 days) · Other
All 7 movesShow fewer
- C••••••• I••••••••• S••••••• to U•• F•••••••• S••••••• I•••left Oct 5, 2006, registered Oct 31, 2006 (26 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••••• I••••••••• S•••••••left Jun 23, 2003, registered Jun 22, 2004 (365 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address