DFX Intelligence
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Registered advisor
A••• B•••• H•••••••
Feed of 09/14/2026
Also filed as A••• H••••••••• B•••• H•••••••
At current firm
1 y
since Jan 8, 2025
In the industry
18 y
since Dec 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Mar 6, 2025 · Laguna Niguel, Ca
- F•••••••• C••••••••• R•••••••• L•• state registered currentsince Jan 8, 2025 · Laguna Niguel, Ca
- F•••••••• C••••••••• R•••••••• L•• formerNov 1, 2017 to Dec 31, 2021 · Santa Ana, Ca
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• C••••••••• R•••••••• L•• to F•••••••• C••••••••• R•••••••• L••left Dec 31, 2021, registered Jan 8, 2025 (1104 days) · channel change inside one enterprise, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address