DFX Intelligence
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Registered advisor
T••••• H•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as T••••• H••••••••• A••••• H•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
15 y
since Jul 1, 2011 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Denver, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 22, 2022 to Mar 31, 2025 · Denver, Co
- C••••••••• F•••••••• N•••••• national BDJul 30, 2021 to Sep 2, 2022 · Boston, Ma
- C••••• A•••••• N••••••• L•• formerMar 2, 2020 to Aug 3, 2021 · Boston, Ma
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
- C••••••••• F•••••••• N•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 2, 2022, registered Nov 22, 2022 (81 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to C••••••••• F•••••••• N••••••left Aug 3, 2021, registered Jul 30, 2021 (-4 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedSep 2, 2022 · a•••••• firm change · fact
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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address