DFX Intelligence
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Registered advisor
H•••• L•• H•••••
Feed of 09/14/2026
Also filed as H•••• L• H••••••••• H••••••••• L•• H•••••
At current firm
2 y
since Dec 20, 2023
In the industry
16 y
since Dec 19, 2009 (earliest exam, job or registration)
Prior registered firms
7
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 20, 2023 · St. Petersburg, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 28, 2023 to Nov 28, 2023 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseJun 23, 2021 to Jun 26, 2023 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 21, 2020 to May 24, 2021 · Miami, Fl
- R•••••• J•••• • A••••••••• I••• national BDDec 6, 2017 to Dec 10, 2020 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseJan 10, 2017 to Nov 28, 2017 · Miami, Fl
- J••• M••••• S••••••••• L•• wirehouseMar 28, 2016 to Sep 21, 2016 · Miami, Fl
- M••••• S•••••• wirehouseDec 12, 2011 to Mar 15, 2016 · Coral Gables, Fl
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• • A••••••••• I•••left Nov 28, 2023, registered Dec 20, 2023 (22 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 26, 2023, registered Jul 28, 2023 (32 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left May 24, 2021, registered Jun 23, 2021 (30 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 10, 2020, registered Dec 21, 2020 (11 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Nov 28, 2017, registered Dec 6, 2017 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 21, 2016, registered Jan 10, 2017 (111 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 15, 2016, registered Mar 28, 2016 (13 days) · Wirehouse to wirehouse
Signals
- ••• LockedNov 28, 2023 · Advisor changed firm · fact
- ••• LockedJun 26, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address