DFX Intelligence
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Registered advisor
M•••••• H•••
Feed of 09/14/2026
Also filed as M••• S• H•••••••• S• H••••••••• S•••• H••••••••• S• H••••••••• H•••
At current firm
0 y
since Jun 30, 2026
In the industry
19 y
since Mar 10, 2007 (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
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 30, 2026 · New York, Ny
- M••••• S•••••• wirehouseAug 28, 2023 to Jun 1, 2026 · Rockville, Md
- J••• M••••• S••••••••• L•• wirehouseMar 16, 2018 to Jul 29, 2023 · Plano, Tx
- M••••• S•••••• wirehouseNov 12, 2013 to May 27, 2016 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 15, 2013 to Oct 16, 2013 · Southlake, Tx
- C•••••• S••••• • C••• I••• national BDMar 18, 2009 to Dec 31, 2009 · New York City, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jun 1, 2026, registered Jun 30, 2026 (29 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jul 29, 2023, registered Aug 28, 2023 (30 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left May 27, 2016, registered Mar 16, 2018 (658 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 16, 2013, registered Nov 12, 2013 (27 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2009, registered Jul 15, 2013 (1292 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJun 1, 2026 · Advisor changed firm · fact
- ••• LockedJul 29, 2023 · 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address