DFX Intelligence
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Registered advisor
H•••• A•••• H•••••••
Feed of 09/14/2026
Also filed as H•••• A•••• H••••••••• A•••• H••••••••• H••••••• S••••••••• H••••••• S••••
At current firm
4 y
since Jun 1, 2022
In the industry
19 y
since Oct 2, 2006 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 1, 2022 · Bethesda, Md
- P••• A••••• S••••••••• L•• BD affiliatedJan 5, 2022 to Mar 3, 2022 · Chevy C••••, Md
- P••• A••••• S••••••••• L•• BD affiliatedJan 7, 2021 to Dec 31, 2021 · Chevy C••••, Md
- C•••• I••••••••• S••••••• C•••• formerJul 27, 2010 to Sep 7, 2010 · Lexington, Ky
- S•••••••• A••••••• L•• national BDJan 15, 2008 to Jan 8, 2009 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 3, 2022, registered Jun 1, 2022 (90 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••• I••••••••• S••••••• C•••• to P••• A••••• S••••••••• L••left Sep 7, 2010, registered Jan 7, 2021 (3775 days) · Other
- S•••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Jan 8, 2009, registered Jul 27, 2010 (565 days) · Other
Signals
- ••• LockedMar 3, 2022 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address