DFX Intelligence
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Registered advisor
T•• E• H••
Feed of 09/14/2026
Also filed as C•••••• H••••••••• H•••••• E• H•••••• E• H•••••• E• N•
At current firm
4 y
since Mar 9, 2022
In the industry
18 y
since Feb 11, 2008 (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
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 9, 2022 · Santa Clara, Ca
- W•••• F•••• A••••••• wirehouseJan 5, 2022 to Mar 8, 2022 · Mountain View, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jul 27, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDSep 22, 2015 to Jul 13, 2018 · Mountain View, Ca
- M••••• S•••••• wirehouseAug 6, 2012 to Aug 31, 2015 · Cupertino, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 6, 2012 · Cupertino, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 10, 2010 to Jan 3, 2011 · Cupertino, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 24, 2008 to Aug 11, 2010 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Mar 8, 2022, registered Mar 9, 2022 (1 days) · Wirehouse to wirehouse · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Jul 27, 2021, registered Jan 5, 2022 (162 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to S•••••••• A••••••• L••left Aug 31, 2015, registered Sep 22, 2015 (22 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Aug 6, 2012, registered Aug 6, 2012 (0 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Aug 11, 2010, registered Aug 10, 2010 (-1 days) · Other
Signals
- ••• LockedMar 8, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address