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
F•••• W•• D•• H••••
Feed of 09/14/2026
Also filed as F•••• H••••••••• W••••• H••••
At current firm
8 y
since Jun 20, 2018
In the industry
18 y
since Aug 15, 2008 (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
S63, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 20, 2018 · Irvine, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 18, 2017 to Jun 27, 2018 · Huntington Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 15, 2015 to Jan 18, 2017 · Huntington Beach, Ca
- H••• S••••••••• •••• I••• BD affiliatedAug 2, 2013 to Aug 4, 2014 · Flushing, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 2, 2012 to Jul 12, 2013 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left Jun 27, 2018, registered Jun 20, 2018 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jan 18, 2017, registered Jan 18, 2017 (0 days) · Other
- H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 4, 2014, registered Apr 15, 2015 (254 days) · Other
- J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••left Jul 12, 2013, registered Aug 2, 2013 (21 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address