DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• H• F•••••••
Feed of 09/14/2026
Also filed as R••••• H••••• F••••••••• F•••••••
At current firm
2 y
since Jul 31, 2024
In the industry
19 y
since Aug 17, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Jul 31, 2024 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedJan 28, 2015 to Apr 26, 2017 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedApr 3, 2008 to Dec 31, 2013 · La Jolla, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 20, 2007 to Dec 19, 2007 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Apr 26, 2017, registered Jul 31, 2024 (2653 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 19, 2007, registered Apr 3, 2008 (106 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address