DFX Intelligence
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Registered advisor
T••••• H••••• A••••••
Feed of 09/14/2026
At current firm
5 y
since Mar 22, 2021
In the industry
36 y
since Jul 1, 1990 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- A•••••• F•••••••• state registered currentsince Mar 22, 2021 · Des Plaines, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 10, 2005 to Mar 18, 2021 · Park Ridge, Il
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to A•••••• F••••••••left Mar 18, 2021, registered Mar 22, 2021 (4 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address