DFX Intelligence
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Registered advisor
S•••••• E• H•••
Feed of 09/15/2026
Also filed as S•••••• H•••
At current firm
1 y
since Apr 24, 2025
In the industry
20 y
since Mar 16, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- L•• E••••••••• L•• BD affiliated currentsince Apr 24, 2025 · Buckhannon, Wv
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 3, 2023 to Jan 3, 2025 · Bridgeport, Wv
- P•••• S••••••••• L•• no RAUMMar 18, 2019 to Feb 23, 2023 · Fairmont, Wv
- W•••• F•••• A••••••• wirehouseFeb 1, 2016 to Dec 5, 2016 · Morgantown, Wv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 17, 2006 to Feb 2, 2016 · Bridgeport, Wv
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• E••••••••• L••left Jan 3, 2025, registered Apr 24, 2025 (111 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 23, 2023, registered Feb 3, 2023 (-20 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•••• S••••••••• L••left Dec 5, 2016, registered Mar 18, 2019 (833 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 2, 2016, registered Feb 1, 2016 (-1 days) · Wirehouse to wirehouse
Signals
- ••• LockedJan 3, 2025 · Advisor changed firm · fact
- ••• LockedFeb 23, 2023 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address