DFX Intelligence
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Registered advisor
C••••••••• H••••••••• J••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as C•••• H••••••••• J••••••••• J••••••••• J••••••••• H• J••••••••• H• J••••••
At current firm
2 y
since Aug 26, 2024
In the industry
13 y
since Apr 30, 2013 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Aug 26, 2024 · Lone Tree, Co
- M••••• S•••••• wirehouseSep 5, 2023 to Jul 23, 2024 · Greenwood Village, Co
- E•••••• C•••••• M••••••••• L•• formerJan 27, 2016 to Sep 5, 2023 · Denver, Co
- S•••••••• A••••••• L•• national BDApr 4, 2014 to Jan 29, 2016 · Greenwood Village, Co
- J••• M••••• S••••••••• L•• wirehouseMay 2, 2013 to Mar 13, 2014 · Littleton, Co
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S••••• W••••• A•••••••• I•••left Jul 23, 2024, registered Aug 26, 2024 (34 days) · Other
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Jan 29, 2016, registered Jan 27, 2016 (-2 days) · Other
- J••• M••••• S••••••••• L•• to S•••••••• A••••••• L••left Mar 13, 2014, registered Apr 4, 2014 (22 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJul 23, 2024 · 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
- No RAUM reportedderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address