DFX Intelligence
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Registered advisor
C••••••••• A•••• H••••••
Feed of 09/14/2026
At current firm
1 y
since Nov 4, 2024
In the industry
23 y
since Jul 30, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 4, 2024 · Mclean, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 7, 2024 · Falls Church, Va
- M•• F•••••••• S•••••••• I••• formerMar 16, 2012 to Mar 25, 2017 · Falls Church, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jan 4, 2010 · Arlington, Va
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 14, 2007 to Jan 2, 2009 · Arlington, Va
- W•••••• • R••• formerNov 22, 2005 to Aug 10, 2007 · Vienna, Va
- S••••••• I••••••••• I••• formerAug 2, 2005 to Dec 8, 2005 · Mclean, Va
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Nov 7, 2024, registered Nov 4, 2024 (-3 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•• F•••••••• S•••••••• I•••left Jan 4, 2010, registered Mar 16, 2012 (802 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to R•••••• J•••• F•••••••• S•••••••• I•••left Aug 10, 2007, registered Sep 14, 2007 (35 days) · Other
- S••••••• I••••••••• I••• to W•••••• • R•••left Dec 8, 2005, registered Nov 22, 2005 (-16 days) · Other
Signals
- ••• LockedNov 7, 2024 · Advisor changed firm · fact
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