DFX Intelligence
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Registered advisor
M•••• N••••• H••••
Feed of 09/14/2026
Also filed as M•••• N••••• H••••••••• H• Q••••••••• H••••
At current firm
7 y
since Jun 17, 2019
In the industry
21 y
since Dec 29, 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
- E••••• J•••• national BD currentsince Jun 17, 2019 · Stockbridge, Ga
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 16, 2015 to Feb 7, 2019 · Milwaukee, Wi
- I••••• F•••••••• C••••••••• formerJan 8, 2007 to Apr 22, 2015 · Alachua, Fl
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••left Feb 7, 2019, registered Jun 17, 2019 (130 days) · Other
- I••••• F•••••••• C••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 22, 2015, registered Jun 16, 2015 (55 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address