DFX Intelligence
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Registered advisor
M••• C•••••••• H•••••
Feed of 09/15/2026
At current firm
14 y
since Feb 21, 2012
In the industry
22 y
since Mar 26, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 21, 2012 · Roseville, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 2, 2010 to Feb 24, 2012 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerSep 8, 2004 to Jan 26, 2010 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 24, 2012, registered Feb 21, 2012 (-3 days) · Other
- M•• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 26, 2010, registered Feb 2, 2010 (7 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address