DFX Intelligence
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Registered advisor
H••••• L••• R••••••
Feed of 09/14/2026
Also filed as H••••• L••• R••••••
At current firm
4 y
since Mar 8, 2022
In the industry
18 y
since Jan 31, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Mar 8, 2022 · Metairie, La
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 21, 2017 to Feb 4, 2022 · New Orleans, La
- L•• F•••••••• L•• BD affiliatedJun 22, 2017 to Sep 1, 2017 · New Orleans, La
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to May 24, 2017 · New Orleans, La
- M••••• K••••• • C••••••• L•• formerJan 25, 2010 to Feb 13, 2013 · New Orleans, La
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Feb 4, 2022, registered Mar 8, 2022 (32 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 1, 2017, registered Aug 21, 2017 (-11 days) · Other
- R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••left May 24, 2017, registered Jun 22, 2017 (29 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedFeb 4, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address