DFX Intelligence
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Registered advisor
B•••••• N•••••
Feed of 09/14/2026
Also filed as B•••••• H• N••••••••• H• N••••••••• N•••••
At current firm
1 y
since Mar 31, 2025
In the industry
16 y
since May 14, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Campbell, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 19, 2018 to Mar 31, 2025 · Campbell, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 25, 2018 to Aug 20, 2018 · Santa Clara, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 1, 2016 to Jan 17, 2018 · Mountain View, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 20, 2018, registered Sep 19, 2018 (30 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 17, 2018, registered Jan 25, 2018 (8 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address