DFX Intelligence
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E••••• H•••• G••••••
As of · the IAPD feed; also filed as E• H•••• G••••••
- In the industry
- 22 y
- Prior registered firms
- 3
- Signals
- 1
As of · the IAPD feed; also filed as E• H•••• G••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Oct 16, 2025 · Wilsonville, Al
- L•• F•••••••• L•• BD affiliatedJun 2, 2020 to Oct 20, 2025 · Birmingham, Al
- M••••• S•••••• wirehouseMay 11, 2012 to May 29, 2020 · Barrington, Il
- C•••• I••••••••• S••••••• C•••• formerMar 31, 2006 to May 14, 2012 · Crystal Lake, Il
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Oct 20, 2025, registered Oct 16, 2025 (-4 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to L•• F•••••••• L••left May 29, 2020, registered Jun 2, 2020 (4 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to M••••• S••••••left May 14, 2012, registered May 11, 2012 (-3 days) · Other
Signals
- ••• LockedOct 20, 2025 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address