DFX Intelligence
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Registered advisor
R••••• H••• H•••••••
Feed of 09/14/2026
Also filed as R••••• H••••••••• H••• H••••••••• H•••••••
At current firm
2 y
since Aug 20, 2024
In the industry
17 y
since Jun 8, 2009 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 20, 2024 · West Hartford, Ct
- M••••• S•••••• wirehouseAug 6, 2013 to Aug 14, 2024 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2010 to Jul 30, 2013 · Farmington, Ct
- W•••••• • R••• formerJun 9, 2009 to Mar 30, 2010 · Hamden, Ct
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Aug 14, 2024, registered Aug 20, 2024 (6 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 30, 2013, registered Aug 6, 2013 (7 days) · Wirehouse to wirehouse
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 30, 2010, registered Apr 14, 2010 (15 days) · Other
Signals
- ••• LockedAug 14, 2024 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address