DFX Intelligence
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Registered advisor
C•••• D•••• H•••••••••
Feed of 09/14/2026
Also filed as C•••• D•••• H••••••••• D•••• H•••••••••
At current firm
11 y
since Apr 16, 2015
In the industry
21 y
since Sep 28, 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
S63, 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
- P•••••••• S••••••••• I••• BD affiliated currentsince Apr 16, 2015 · Hiawatha, Ia
- P••• A••••• S••••••••• L•• BD affiliatedMay 8, 2014 to Apr 7, 2015 · North Liberty, Ia
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 23, 2013 to Apr 21, 2014 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to P•••••••• S••••••••• I•••left Apr 7, 2015, registered Apr 16, 2015 (9 days) · Other
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Apr 21, 2014, registered May 8, 2014 (17 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address