DFX Intelligence
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Registered advisor
J••••••• H••••
Feed of 09/15/2026
Also filed as J•• H••••••••• N• H••••••••• H••••••••• W•••••• H••••
At current firm
3 y
since Feb 7, 2023
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince Feb 7, 2023 · Fort Mill, Sc
- V••••••• A•••••••• I••• BD affiliatedNov 1, 2019 to Nov 12, 2021 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- V••••••• A•••••••• I••• to L•• F•••••••• L••left Nov 12, 2021, registered Feb 7, 2023 (452 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address