DFX Intelligence
RIA Intelligence
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Registered advisor
C••••••••• T••• H•••••
Feed of 09/15/2026
At current firm
19 y
since Sep 4, 2007
In the industry
25 y
since Aug 1, 2001 (earliest exam, job or registration)
Prior registered firms
1
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 4, 2007 · Lexington, Ky
- C••••• I••••••••• S••••••• L•• formerNov 24, 2003 to Sep 5, 2007 · Danville, Ky
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Sep 5, 2007, registered Sep 4, 2007 (-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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address