DFX Intelligence
RIA Intelligence
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Registered advisor
A•••• W• H•••••
Feed of 09/15/2026
Also filed as A•••• H•••••
At current firm
15 y
since Jan 3, 2011
In the industry
20 y
since Sep 6, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Jan 3, 2011 · Raleigh, Nc
- V••• F•••••••• P•••••••• L•• formerDec 3, 2008 to Jan 3, 2011 · Raleigh, Nc
- E•••••••• A•••••••• L•• national BDSep 14, 2006 to Dec 2, 2008 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to V••• F•••••••• P•••••••• L••left Dec 2, 2008, registered Dec 3, 2008 (1 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
- 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