DFX Intelligence
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Registered advisor
T••••• H•••• G•••••
Feed of 09/14/2026
Also filed as T•• G•••••
At current firm
10 y
since Jun 29, 2016
In the industry
17 y
since Sep 15, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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
- B•••• H••• A•••••••• L•• independent RIA currentsince Jun 29, 2016 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 1, 2012 to Feb 5, 2014 · New York, Ny
- M••••• S•••••• wirehouseJul 8, 2010 to Feb 8, 2012 · New York, Ny
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 30, 2009 to May 20, 2010 · Redwood City, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••• H••• A•••••••• L••left Feb 5, 2014, registered Jun 29, 2016 (875 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 8, 2012, registered Feb 1, 2012 (-7 days) · Wirehouse to wirehouse
- N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••left May 20, 2010, registered Jul 8, 2010 (49 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address