DFX Intelligence
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Registered advisor
C•••••••• H••••••
Feed of 09/14/2026
At current firm
13 y
since Oct 11, 2012
In the industry
16 y
since Jun 3, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
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
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 11, 2012 · Fairfield, Ct
- E••••• J•••• national BDJun 7, 2010 to Jan 27, 2011 · Stratford, Ct
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to J••••• M••••••••• S•••• L••left Jan 27, 2011, registered Oct 11, 2012 (623 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address