DFX Intelligence
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Registered advisor
W•••••• H••••• B••••
Feed of 09/15/2026
Also filed as W•••••• H••••• B••••••••• H••••• B••••••••• B••••••••• H••••• B••••
At current firm
4 y
since Feb 24, 2022
In the industry
21 y
since Aug 1, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- C•••••• S••••• • C••• I••• national BD currentsince Feb 24, 2022 · Tysons Corner, Va
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Manchester, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Nov 9, 2021 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 16, 2016 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Feb 24, 2022 (-232 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 9, 2021, registered Feb 27, 2018 (-1351 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address