DFX Intelligence
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Registered advisor
Z•••••• H••••
Feed of 09/15/2026
Also filed as Z••• P•••••• H••••••••• P•••••• H••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Mar 28, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 29, 2016 to Jul 13, 2018 · Charlotte, Nc
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 4, 2013 to Jul 27, 2016 · Charlotte, Nc
- T• A••••••••• I••• formerApr 4, 2013 to Jul 27, 2016 · Charlotte, Nc
- E•••••• C•••••• M••••••••• L•• formerJun 2, 2009 to Mar 14, 2013 · Arlington, Va
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Jul 27, 2016, registered Jul 29, 2016 (2 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 27, 2016, registered Apr 4, 2013 (-1210 days) · channel change inside one enterprise, not a move
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Mar 14, 2013, registered Apr 4, 2013 (21 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address