DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S•••• R••••• H••••••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSan Carlos, Ca dual registrantIAPD 4615073
Feed of 09/14/2026
Also filed as S•••• H••••••••
At current firm
14 y
since Jan 19, 2012
In the industry
23 y
since Dec 14, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 19, 2012 · San Jose, Ca
- A•••••• A••••• F•••••••• P•••••••• L•• unclassifiedFeb 17, 2011 to Jul 16, 2012 · Cupertino, Ca
- E•••• N••••••• S••••••••• I••• formerFeb 8, 2011 to Jan 25, 2012 · Cupertino, Ca
- C•••• I••••••••• S••••••• C•••• formerNov 5, 2010 to Feb 9, 2011 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••• F•••••••• P•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 16, 2012, registered Jan 19, 2012 (-179 days) · Other
- E•••• N••••••• S••••••••• I••• to A•••••• A••••• F•••••••• P•••••••• L••left Jan 25, 2012, registered Feb 17, 2011 (-342 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••• N••••••• S••••••••• I•••left Feb 9, 2011, registered Feb 8, 2011 (-1 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address