DFX Intelligence
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Registered advisor
C••••••• H•••• W•••••••
Feed of 09/14/2026
Also filed as C• W••••••••• H• W••••••••• H• W••••••••• H• W•••••••
At current firm
2 y
since Mar 15, 2024
In the industry
16 y
since Mar 1, 2010 (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
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 15, 2024 · Stamford, Ct
- E••• W••••• M••••••••• L••••• formerMar 24, 2024 to Jan 28, 2025 · Charlotte, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 22, 2019 to Mar 15, 2024 · Charlotte, Nc
- E••••• J•••• national BDMar 23, 2010 to Feb 26, 2019 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 15, 2010 to Mar 23, 2010 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••• W••••• M••••••••• L••••• to no registered destinationleft Jan 28, 2025 · Departure, no registered destination
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Mar 15, 2024, registered Mar 15, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 26, 2019, registered Feb 22, 2019 (-4 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E••••• J••••left Mar 23, 2010, registered Mar 23, 2010 (0 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJan 28, 2025 · Advisor departure · fact
- ••• LockedMar 15, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address