DFX Intelligence
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D•• H•••• R••••••
Registered advisorat A••••••••• F•••••••• S•••••••• L••Dual registrant· New Orleans, La IAPD 5619559
As of · the IAPD feed; also filed as D•• H• R••••••••• H• R••••••
- At current firm
- 5 y
- In the industry
- 17 y
- Prior registered firms
- 4
- Signals
- 0
since Jan 4, 2021
As of · the IAPD feed; also filed as D•• H• R••••••••• H• R••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 4, 2021 · Houma, La
- A••••• A•• P••••••• S••••••• BD affiliatedSep 13, 2017 to Nov 13, 2020 · Metairie, La
- J••• M••••• S••••••••• L•• wirehouseJun 6, 2016 to Aug 23, 2017 · Metairie, La
- A••••••••• F•••••••• S•••••••• L•• national BDApr 13, 2011 to Apr 18, 2016 · Metairie, La
- E••••• J•••• national BDFeb 3, 2009 to Mar 22, 2011 · Metairie, La
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 13, 2020, registered Jan 4, 2021 (52 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 23, 2017, registered Sep 13, 2017 (21 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Apr 18, 2016, registered Jun 6, 2016 (49 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Mar 22, 2011, registered Apr 13, 2011 (22 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
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, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote