DFX Intelligence
RIA Intelligence
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Registered advisor
H•••• M• C••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Apr 30, 2021
In the industry
21 y
since Feb 17, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- M•••••• W••••• M••••••••• L•• independent RIA currentsince Apr 30, 2021 · Rensselaer, Ny
- B••••• H•••••• R••••••••• S••••••••• L•• formerOct 3, 2012 to Mar 9, 2015 · Albany, Ny
- W••• S••••• F•••••••• G••••• I•• formerMay 4, 2005 to Jul 31, 2009 · Clifton Park, Ny
Moves
a registration end followed by a registration begin elsewhere
- B••••• H•••••• R••••••••• S••••••••• L•• to M•••••• W••••• M••••••••• L••left Mar 9, 2015, registered Apr 30, 2021 (2244 days) · Other
- W••• S••••• F•••••••• G••••• I•• to B••••• H•••••• R••••••••• S••••••••• L••left Jul 31, 2009, registered Oct 3, 2012 (1160 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address