DFX Intelligence
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Registered advisor
G•••••• A• H•••••••
Feed of 09/14/2026
At current firm
5 y
since Mar 19, 2021
In the industry
18 y
since Jan 25, 2008 (earliest exam, job or registration)
Prior registered firms
2
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
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Mar 19, 2021 · Pittsford, Ny
- M••••• S•••••• wirehouseSep 4, 2013 to Nov 18, 2015 · Rochester, Ny
- H•••••• T••••••• • K•••• L•• independent RIAJan 19, 2010 to Dec 8, 2011 · Rochester, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to H•••••• T••••••• • K•••• L••left Nov 18, 2015, registered Mar 19, 2021 (1948 days) · Wirehouse to affiliated broker-dealer or bank
- H•••••• T••••••• • K•••• L•• to M••••• S••••••left Dec 8, 2011, registered Sep 4, 2013 (636 days) · Other
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address